ACTIVECARE, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-02-09: Reporting owner DALTON JAMES; Form 3; Security Series G Convertible Preferred Stock; Transaction Holding.
- 2017-01-31: Reporting owner PETERSON JEFFREY S; Form 4; Security Series G Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-01: Reporting owner ADP MANAGEMENT CORP; Form 3; Security Series D Convertible Preferred Stock; Transaction Holding.
- 2014-12-01: Reporting owner Tyumen Holdings, LLC; Form 3; Security Series D Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-02-09 holding as of filing | DALTON JAMES 10% Owner | 3 | Series G Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2017-02-09 | ||
| 2017-01-31 | PETERSON JEFFREY S Director, Officer (CEO), 10% Owner | 4 | Series G Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,415 32,415 owned after | no price filed | 2017-02-02 | |
| 2014-12-01 holding as of filing | ADP MANAGEMENT CORP 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-12-01 | ||
| 2014-12-01 holding as of filing | Tyumen Holdings, LLC 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2014-12-01 | ||
| 2014-12-01 holding as of filing | PETERSON JEFFREY S Director, Officer (VP Finance), 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Indirect · By Tyumen Holdings, LLC | Holding | no price filed | 2014-12-01 | ||
| 2014-08-01 holding as of filing | Meador Darrell Officer (President of 4G Biometrics) | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-08-01 | ||
| 2013-12-16 | DERRICK DAVID G | ADP MANAGEMENT CORP Director, Officer (Executive Chairman), 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −160,000 0 owned after | no price filed | 2014-12-03 | |
| 2013-12-16 | Martin William K Jr Director | 4 | Series D Convertible Preferred Stock Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,240 0 owned after | no price filed | 2014-12-02 | |
| 2013-12-16 | Martin William K Jr Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,000 0 owned after | no price filed | 2014-12-02 | |
| 2013-12-16 | Johnson Jack Jay Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,600 0 owned after | no price filed | 2014-12-02 | |
| 2013-12-16 | WELGOS ROBERT J Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,320 0 owned after | no price filed | 2014-12-01 | |
| 2013-12-16 | ACTON MICHAEL G Officer (Former Chief Financial Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −46,300 0 owned after | no price filed | 2014-12-01 | |
| 2013-12-16 | Meador Darrell Officer (President of 4G Biometrics) | 4 | Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,800 0 owned after | no price filed | 2014-08-01 | |
| 2013-09-30 | ACTON MICHAEL G Officer (Former Chief Financial Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 46,300 owned after | no price filed | 2014-12-01 | |
| 2013-09-25 | WELGOS ROBERT J Director | 4 | Series E Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,843 13,843 owned after | no price filed | 2014-12-01 | |
| 2012-11-20 | WELGOS ROBERT J Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,320 10,320 owned after | $4.00 | 2013-02-06 | |
| 2012-11-20 | Johnson Jack Jay Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,600 12,600 owned after | $4.00 | 2013-02-01 | |
| 2012-11-20 | Carter James George Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,753 17,753 owned after | $4.00 | 2013-02-01 | |
| 2012-11-20 | Martin William K Jr Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,240 12,240 owned after | $4.00 | 2013-02-01 | |
| 2012-11-20 | ACTON MICHAEL G Officer (Chief Financial Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,300 24,300 owned after | $4.00 | 2013-02-01 | |
| 2012-07-12 | DERRICK DAVID G Director, Officer (Chief Executive Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $4.00 | 2013-02-04 | |
| 2012-07-12 | DERRICK DAVID G Director, Officer (Chief Executive Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 160,000 owned after | $4.00 | 2013-02-04 | |
| 2012-06-22 | Martin William K Jr Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 55,000 owned after | no price filed | 2014-12-02 | |
| 2010-12-20 holding as of filing | ROSENBLUM RICHARD | Harborview Advisors, LLC | STEFANSKY DAVID | HARBORVIEW MASTER FUND LP | Corbran LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $1.75 exercise price | 2010-12-20 | ||
| 2010-12-20 holding as of filing | ROSENBLUM RICHARD | Harborview Advisors, LLC | STEFANSKY DAVID | HARBORVIEW MASTER FUND LP | Corbran LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | $1.75 exercise price | 2010-12-20 | ||
| 2010-10-21 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −228,571 0 owned after | $1.75 exercise price | 2010-12-20 | |
| 2010-10-05 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −285,714 0 owned after | $1.75 exercise price | 2010-12-20 |