ACTIVECARE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-19: Reporting owner Rosenblum Mark J; Form 3; Security Warrants to purchase common stock.; Transaction Holding.
- 2015-05-20: Reporting owner DALTON JAMES; Form 3; Security Warrants; Transaction Holding.
- 2015-05-20: Reporting owner DALTON JAMES; Form 3; Security Warrants; Transaction Holding.
- 2014-12-01: Reporting owner Tyumen Holdings, LLC; Form 3; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-19 holding as of filing | Rosenblum Mark J Director, Officer (Chief Executive Officer) | 3 | Warrants to purchase common stock. Derivative · Direct | Holding | no price filed | 2017-12-19 | ||
| 2015-05-20 holding as of filing | DALTON JAMES Director, Officer (Chief Executive Officer) | 3 | Warrants Derivative · Direct | Holding | $0.30 exercise price | 2015-05-20 | ||
| 2015-05-20 holding as of filing | DALTON JAMES Director, Officer (Chief Executive Officer) | 3 | Warrants Derivative · Direct | Holding | $0.30 exercise price | 2015-05-20 | ||
| 2014-12-01 holding as of filing | Tyumen Holdings, LLC 10% Owner | 3 | Warrants Derivative · Direct | Holding | $1.10 exercise price | 2014-12-01 | ||
| 2014-12-01 holding as of filing | PETERSON JEFFREY S Director, Officer (VP Finance), 10% Owner | 3 | Warrants Derivative · Indirect · By Tyumen Holdings, LLC | Holding | $1.10 exercise price | 2014-12-01 | ||
| 2014-06-25 | WELGOS ROBERT J Director | 4 | Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +15,000 0 owned after | no price filed | 2014-12-01 | |
| 2014-03-31 | DERRICK DAVID G | ADP MANAGEMENT CORP Director, Officer (Executive Chairman), 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +566,600 150,000 owned after | $0.10 exercise price | 2014-12-03 | |
| 2014-03-31 | Meador Darrell Officer (Chief Sales Officer) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +43,333 173,333 owned after | $0.50 exercise price | 2014-12-01 | |
| 2013-12-31 | Meador Darrell Officer (Chief Sales Officer) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +43,333 130,000 owned after | $0.50 exercise price | 2014-12-01 | |
| 2013-09-30 | Meador Darrell Officer (Chief Sales Officer) | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +86,667 86,667 owned after | $0.50 exercise price | 2014-12-01 | |
| 2013-02-04 holding as of filing | DERRICK DAVID G Director, Officer (Chief Executive Officer) | 3/A | Warrants Derivative · Indirect · By ADP Management Corporation | Holding | $0.10 exercise price | 2013-02-04 | ||
| 2013-02-04 holding as of filing | DERRICK DAVID G Director, Officer (Chief Executive Officer) | 3/A | Warrants Derivative · Indirect · By ADP Management Corporation | Holding | $0.10 exercise price | 2013-02-04 | ||
| 2012-07-12 | DERRICK DAVID G Director, Officer (Chief Executive Officer) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000,000 10,000,000 owned after | $0.10 exercise price | 2013-02-04 | |
| 2011-10-04 | Martin William K Jr Director | 5 | Warrants Derivative · Direct | G Bona fide gift | +150,000 150,000 owned after | $0.50 exercise price | 2012-05-04 | |
| 2011-10-04 | Carter James George Director | 5 | Warrants Derivative · Direct | G Bona fide gift | +150,000 150,000 owned after | $0.50 exercise price | 2012-05-01 | |
| 2011-10-04 | DALTON JAMES Director | 5 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −750,000 2,250,000 owned after | $0.50 exercise price | 2012-04-23 | |
| 2011-10-04 | WELGOS ROBERT J Director | 5 | Warrants Derivative · Direct | G Bona fide gift | +150,000 150,000 owned after | $0.50 exercise price | 2012-03-30 | |
| 2011-10-04 | Johnson Jack Jay Director | 5 | Warrants Derivative · Direct | G Bona fide gift | +150,000 150,000 owned after | $0.50 exercise price | 2012-03-30 | |
| 2011-10-04 | ACTON MICHAEL G Officer (Chief Financial Officer) | 5 | Warrants Derivative · Direct | G Bona fide gift | +150,000 150,000 owned after | $0.50 exercise price | 2012-03-27 | |
| 2011-09-30 | DALTON JAMES Director | 5 | Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −300,000 4,002,000 owned after | $0.25 | 2012-04-23 | |
| 2011-09-01 | DALTON JAMES Director | 5 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,680,000 4,302,000 owned after | $0.25 | 2012-04-23 | |
| 2011-06-22 | DALTON JAMES Director | 5 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $0.50 exercise price | 2012-04-23 | |
| 2011-05-18 | DALTON JAMES Director | 5 | Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −540,000 6,982,000 owned after | $0.25 exercise price | 2012-04-23 | |
| 2011-04-07 | DALTON JAMES Director | 5 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −700,000 7,522,000 owned after | $0.25 exercise price | 2012-04-23 | |
| 2011-03-07 | DALTON JAMES Director | 5 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −600,000 8,222,000 owned after | $0.25 exercise price | 2012-04-23 | |
| 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 | Class A Warrant 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 | Class B Warrant 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 | Class C Warrant Derivative · Direct | Holding | $3.00 exercise price | 2010-12-20 | ||
| 2010-09-30 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class A Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −285,714 0 owned after | $1.75 exercise price | 2010-12-20 | |
| 2010-09-30 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class B Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −367,347 0 owned after | $1.75 exercise price | 2010-12-20 | |
| 2010-09-30 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class C Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −228,571 0 owned after | $3.00 exercise price | 2010-12-20 | |
| 2010-09-30 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class D Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +792,080 792,080 owned after | $1.00 exercise price | 2010-12-20 | |
| 2010-09-30 | Harborview Advisors, LLC | Corbran LLC | HARBORVIEW MASTER FUND LP | STEFANSKY DAVID | ROSENBLUM RICHARD 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Class E Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +277,227 277,227 owned after | $1.00 exercise price | 2010-12-20 |