ADVANZEON SOLUTIONS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 58 rows, 58 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-01-28: Reporting owner Marcus Clark A.; Form 4; Security Common Stock Purchase Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2021-01-20: Reporting owner Marcus Clark A.; Form 4; Security Common Stock Purchase Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-06-29: Reporting owner SUBIN NEIL S; Form 3; Security Warrant to Purchase Shares of Common Stock; Transaction Holding.
- 2020-06-29: Reporting owner SUBIN NEIL S; Form 3; Security Warrant to Purchase Shares of Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-01-28 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 29,737,896 owned after | $0.50 exercise price | 2021-02-10 | |
| 2021-01-20 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 29,457,896 owned after | $0.50 exercise price | 2021-01-22 | |
| 2020-06-29 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Marli B. Miller Trust A-4 | Holding | $0.25 exercise price | 2020-06-29 | ||
| 2020-06-29 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Lloyd I. Miller, III Trust A-4 | Holding | $0.25 exercise price | 2020-06-29 | ||
| 2020-06-29 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Milfam II L.P. | Holding | $0.25 exercise price | 2020-06-29 | ||
| 2020-06-29 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By JPMorgan Chase NA Custodian FBO Susan F Miller Spousal IRA | Holding | $0.25 exercise price | 2020-06-29 | ||
| 2020-06-29 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Lloyd I. Miller, III Revocable Trust | Holding | $0.25 exercise price | 2020-06-29 | ||
| 2020-06-29 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Catherine Miller Trust C | Holding | $0.25 exercise price | 2020-06-29 | ||
| 2020-05-26 | Kreitzer Stephen M. | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200,000 3,440,000 owned after | $0.15 exercise price | 2021-11-03 | |
| 2020-03-31 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +169,551 29,377,896 owned after | $0.19 exercise price | 2020-05-15 | |
| 2019-12-31 | Heidt Mark | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +72,674 2,002,979 owned after | $0.43 exercise price | 2020-02-18 | |
| 2019-12-31 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +133,721 29,208,345 owned after | $0.43 exercise price | 2020-02-18 | |
| 2019-10-03 | Kreitzer Stephen M. | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000,000 3,240,000 owned after | $0.11 exercise price | 2019-12-18 | |
| 2019-09-30 | Heidt Mark | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +62,500 1,930,305 owned after | $0.42 exercise price | 2019-12-20 | |
| 2019-09-30 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +136,905 29,074,624 owned after | $0.42 exercise price | 2019-12-12 | |
| 2019-06-25 | Marcus Clark A. Director, Officer (CEO) | 4 | Common Stock Purchase Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +718,750 18,857,638 owned after | $0.09 exercise price | 2019-07-31 | |
| 2019-06-25 | Heidt Mark | 4 | Common Stock Purchase Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +390,625 2,258,433 owned after | $0.09 exercise price | 2019-07-31 | |
| 2019-05-31 | Marcus Clark A. Director, Officer (CEO) | 4 | Common Stock Purchase Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +638,888 18,138,888 owned after | $0.09 exercise price | 2019-07-31 | |
| 2019-05-31 | Heidt Mark | 4 | Common Stock Purchase Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +347,222 1,867,805 owned after | $0.09 exercise price | 2019-07-31 | |
| 2018-07-11 | Heidt Mark Director | 4/A | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +520,833 1,520,583 owned after | $0.24 exercise price | 2019-06-25 | |
| 2018-07-11 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4/A | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +833,333 17,500,000 owned after | $0.24 exercise price | 2019-06-21 | |
| 2018-07-11 | Marcus Clark A. Director, Officer (CEO), 10% Owner | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,250,000 17,500,000 owned after | $0.24 exercise price | 2019-01-18 | |
| 2018-07-11 | Heidt Mark Director, Officer (President) | 4 | Common Stock Purchase Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +781,250 1,781,000 owned after | $0.24 exercise price | 2019-01-14 | |
| 2018-06-06 | Kreitzer Stephen M. | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 1,240,000 owned after | $0.15 | 2018-06-13 | |
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2018-04-26 | ||
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2018-04-26 | ||
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2018-04-26 | ||
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2018-04-26 | ||
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2018-04-26 | ||
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.15 exercise price | 2018-04-26 | ||
| 2018-04-26 holding as of filing | Kreitzer Stephen M. | 3/A | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2018-04-26 | ||
| 2017-09-21 holding as of filing | Koenig James L. Director, Officer (CFO) | 3 | Warrants Derivative · Direct | Holding | $0.06 exercise price | 2017-09-21 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2017-08-16 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2017-08-16 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2017-08-16 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2017-08-16 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2017-08-16 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.15 exercise price | 2017-08-16 | ||
| 2017-08-16 holding as of filing | Kreitzer Stephen M. Other (Medical Director, PVMS, Inc.) | 3 | Warrant Derivative · Direct | Holding | $0.25 exercise price | 2017-08-16 | ||
| 2017-01-24 holding as of filing | Heidt Mark Director, Officer (President) | 3 | Warrants Derivative · Direct | Holding | $0.06 exercise price | 2017-01-24 | ||
| 2017-01-24 holding as of filing | Smith Gerard Director, Officer (COO) | 3 | Warrants Derivative · Direct | Holding | $0.06 exercise price | 2017-01-24 | ||
| 2017-01-24 holding as of filing | Smith Gerard Director, Officer (COO) | 3 | Warrants Derivative · Direct | Holding | $0.25 exercise price | 2017-01-24 | ||
| 2017-01-24 holding as of filing | Smith Gerard Director, Officer (COO) | 3 | Warrants Derivative · Direct | Holding | $0.25 exercise price | 2017-01-24 | ||
| 2013-09-17 | Martinez Ramon Director, Officer (President (a)) | 4 | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $0.25 | 2013-09-25 | |
| 2011-12-09 holding as of filing | Bernard Sherman 2000 Trust | Shermco Inc. | Sherfam Inc. | SHERMAN BERNARD C | Sherman Holdings Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase common stock Derivative · Indirect · By Sherfam, Inc. | Holding | $0.44 exercise price | 2011-12-09 | ||
| 2011-12-09 holding as of filing | Bernard Sherman 2000 Trust | Shermco Inc. | Sherfam Inc. | SHERMAN BERNARD C | Sherman Holdings Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to purchase common stock Derivative · Indirect · By Sherfam, Inc. | Holding | $0.44 exercise price | 2011-12-09 | ||
| 2011-11-21 | SMITH JOSHUA I Director | 4/A | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.25 | 2011-11-28 | |
| 2011-11-21 | Finestone Arnold Director | 4/A | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.25 | 2011-11-28 | |
| 2011-11-21 | Marcus Clark A. Director, Officer (Chairman & CEO), 10% Owner | 4/A | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500,000 6,500,000 owned after | $0.25 | 2011-11-28 | |
| 2011-11-21 | SMITH JOSHUA I Director | 4 | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.22 | 2011-11-23 | |
| 2011-11-21 | Finestone Arnold Director | 4 | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.22 | 2011-11-23 | |
| 2011-11-21 | Marcus Clark A. Director, Officer (Chairman & CEO), 10% Owner | 4 | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500,000 6,500,000 owned after | $0.22 | 2011-11-23 | |
| 2011-01-28 holding as of filing | PITTS DAVID R Director | 3 | Warrant to purchase Common Stock Derivative · Direct | Holding | $0.55 exercise price | 2011-01-28 | ||
| 2010-06-30 | Crisafi Giuseppe Director, Officer (Chief Financial Officer), 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000,000 4,000,000 owned after | $0.50 | 2010-07-16 | |
| 2010-06-30 | Marcus Clark A. Director, Officer (Chairman & Co-CEO), 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000,000 4,000,000 owned after | $0.50 | 2010-07-16 | |
| 2010-06-28 holding as of filing | JENKINS HOWARD M 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | Holding | 1,000,000 owned after | $0.25 exercise price | 2010-06-28 | |
| 2010-06-04 | JENKINS HOWARD M 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,000,000 owned after | $0.25 | 2010-06-28 | |
| 2010-04-14 | West Benjamin B 10% Owner | 4 | Warrant to purchase common stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $0.25 | 2010-06-10 |