Patty Chan - 31 Dec 2024 Form 5 Insider Report for BLUM HOLDINGS, INC. (BLMH)

Reporting relationship: Chief Financial Officer
Issuer ticker: BLMH
Reported as of: 31 Dec 2024
Net transaction value: $0
SEC form: 5
Accepted by SEC: 14 Feb 2025, 19:06:09 UTC
Prior SEC filing: 22 Jan 2024
Next SEC filing: 27 Jan 2026
Source filing: View source filing
Reporting owner signature: /s/ Patty Chan

Key filing fact

Patty Chan filed Form 5 for BLUM HOLDINGS, INC. (BLMH) on 14 Feb 2025.

Key facts

This page summarizes Patty Chan's Form 5 filing for BLUM HOLDINGS, INC. (BLMH).
3 reported transactions and 3 derivative rows are listed below.
Accepted by SEC: 14 Feb 2025, 19:06.

Change

Previous filing in this sequence was filed on 22 Jan 2024.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Official SEC source

Ownership activity is grounded in SEC Form 5 disclosures.

View source filing

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

BLMH transaction Derivative

Series V Preferred Stock

Other

Transaction value
Shares: 0
Change %: 0%
Price
Shares after: 714,286
Date: 30 Dec 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 238,095
Exercise price
Footnotes: F1, F2, F3

BLMH transaction Derivative

Warrants to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -35,714
Change %: -100%
Price: $0.000000
Shares after: 0
Date: 30 Dec 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 0
Exercise price: $2.80
Footnotes: F4

BLMH transaction Derivative

Warrants to Purchase Common Stock

Award

Transaction value: $0
Shares: +119,048
Change %
Price: $0.000000
Shares after: 119,048
Date: 30 Dec 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 119,048
Exercise price: $0.4600
Footnotes: F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

Not applicable. See footnote 2.

Footnote F2

Reporting Person holds 714,286 shares of Series V Preferred Stock ("Series V Stock") and is reporting herein a change in the conversion ratio of such stock to common stock only. Effective December 30, 2024, Issuer amended the certificate of designation of its Series V Stock pursuant to which each share of Series V Stock (a) became convertible into 1/3 of a share of common stock, (b) will automatically be converted to common stock on the fourth anniversary of the date of issuance, and (c) prior to such anniversary, the holder is entitled to convert shares of Series V Stock upon written notice. Issuer and Reporting Person entered into an amendment to the Series V Stock purchase agreement in connection therewith.

Footnote F3

See footnote 2.

Footnote F4

These two warrants transactions involved an amendment of outstanding warrants to purchase common stoc), resulting in the cancellation of the old warrant and the grant of a replacement warrant.