ADVANZEON SOLUTIONS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 47 rows, 47 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-04-03: Reporting owner Marcus Clark A.; Form 4; Security Series C Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2012-01-04: Reporting owner Yeap Arthur; Form 4; Security Warrant to purchase Series D Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-01-04: Reporting owner Yeap Arthur; Form 4; Security Series D Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-01-04: Reporting owner Ray Sharon Kay; Form 4; Security Warrant to purchase Series D Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-04-03 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,100 11,746,748 owned after | $0.08 | 2019-12-12 | |
| 2012-01-04 | Yeap Arthur Director | 4 | Warrant to purchase Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3 0 owned after | $25,000.00 | 2012-01-06 | |
| 2012-01-04 | Yeap Arthur Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25 25 owned after | $0.00 | 2012-01-06 | |
| 2012-01-04 | Ray Sharon Kay Director | 4 | Warrant to purchase Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3 0 owned after | $25,000.00 | 2012-01-06 | |
| 2012-01-04 | Ray Sharon Kay Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25 25 owned after | $0.00 | 2012-01-06 | |
| 2012-01-04 | Finestone Arnold Director | 4 | Warrant to purchase Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6 0 owned after | $25,000.00 | 2012-01-06 | |
| 2012-01-04 | Finestone Arnold Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50 50 owned after | $0.00 | 2012-01-06 | |
| 2012-01-04 | SMITH JOSHUA I Director | 4 | Warrant to purchase Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8 0 owned after | $25,000.00 | 2012-01-06 | |
| 2012-01-04 | SMITH JOSHUA I Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50 50 owned after | $0.00 | 2012-01-06 | |
| 2012-01-04 | Marcus Clark A. Director, Officer (Chairman & CEO), 10% Owner | 4 | Warrant to purchase Series D Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10 0 owned after | $25,000.00 | 2012-01-06 | |
| 2012-01-04 | Marcus Clark A. Director, Officer (Chairman & CEO), 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100 100 owned after | $0.00 | 2012-01-06 | |
| 2009-06-25 | SMITH JOSHUA I Director | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | SMITH JOSHUA I Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +244 244 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | Finestone Arnold Director | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | Finestone Arnold Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +244 244 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | Ray Sharon Kay Director | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | Ray Sharon Kay Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +244 244 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | Yeap Arthur Director | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −28 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-25 | Yeap Arthur Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +244 244 owned after | no price filed | 2009-06-26 | |
| 2009-06-24 | SMITH JOSHUA I Director | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-24 | Finestone Arnold Director | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-24 | Ray Sharon Kay Director | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-24 | Yeap Arthur Director | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45 0 owned after | no price filed | 2009-06-26 | |
| 2009-06-16 | Katzman Jerry Director, Officer (EVP Strategic Development) | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | G Bona fide gift | −100 0 owned after | $25,000.00 | 2009-06-30 | |
| 2009-06-16 | Marcus Clark A. Director, Officer (Co-Chief Executive Officer) | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | G Bona fide gift | −90 10 owned after | $25,000.00 | 2009-06-30 | |
| 2009-05-13 | Katzman Jerry Director, Officer (EVP Strategic Development) | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100 100 owned after | $25,000.00 | 2009-05-15 | |
| 2009-05-13 | Marcus Clark A. Director, Officer (Co-Chief Executive Officer) | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100 100 owned after | $25,000.00 | 2009-05-15 | |
| 2009-03-31 | Yeap Arthur Director | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3 3 owned after | $25,000.00 | 2009-04-02 | |
| 2009-03-31 | Ray Sharon Kay Director | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3 3 owned after | $25,000.00 | 2009-04-02 | |
| 2009-03-31 | SMITH JOSHUA I Director | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8 8 owned after | $25,000.00 | 2009-04-02 | |
| 2009-03-31 | Finestone Arnold Director | 4 | Warrant to purchase Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6 6 owned after | $25,000.00 | 2009-04-02 | |
| 2009-03-31 | Crisafi Giuseppe Director, Officer (Chief Financial Officer) | 4 | Warrant to purchase Series D Preferred stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100 100 owned after | $25,000.00 | 2009-04-02 | |
| 2009-03-31 | Hill John M Director, Officer (Chief Executive Officer) | 4 | Warrants to purchase Series D Preferred stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70 70 owned after | $25,000.00 | 2009-04-02 | |
| 2009-02-13 holding as of filing | Anako Enterprises, Inc. | Kaye Stephen E 10% Owner | 10% Owner | 3/A | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-02-13 | ||
| 2009-02-13 holding as of filing | Anako Enterprises, Inc. | Kaye Stephen E 10% Owner | 10% Owner | 3/A | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-02-13 | ||
| 2009-02-02 holding as of filing | Ray Sharon Kay Director | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-02-02 | ||
| 2009-02-02 holding as of filing | Ray Sharon Kay Director | 3 | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-02-02 | ||
| 2009-01-30 holding as of filing | Anako Enterprises, Inc. 10% Owner | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Anako Enterprises, Inc. 10% Owner | 3 | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Yeap Arthur Director | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Yeap Arthur Director | 3 | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Finestone Arnold Director | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Finestone Arnold Director | 3 | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Husted Peggy A 10% Owner | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Husted Peggy A 10% Owner | 3 | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | SMITH JOSHUA I Director | 3 | Series B1 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 | ||
| 2009-01-30 holding as of filing | SMITH JOSHUA I Director | 3 | Series B2 Preferred Stock Derivative · Direct | Holding | no price filed | 2009-01-30 |