Adynxx, Inc. Forms 3, 4 and 5: Warrants
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.
- 2014-09-08: Reporting owner BARTON BRADFORD; Form 3; Security Warrant (right to buy); Transaction Holding.
- 2014-09-03: Reporting owner ZELDIS JEROME B; Form 4; Security Warrant (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-07-23: Reporting owner AFRICK ANDREW; Form 3; Security Warrants (Right to Buy); Transaction Holding.
- 2014-06-06: Reporting owner ZELDIS JEROME B; Form 4; Security Warrant (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-08 holding as of filing | BARTON BRADFORD Officer (Chief Operating Officer) | 3 | Warrant (right to buy) Derivative · Direct | Holding | $4.24 exercise price | 2014-09-08 | ||
| 2014-09-03 | ZELDIS JEROME B Director | 4 | Warrant (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,500 174,031 owned after | $4.24 exercise price | 2014-09-04 | |
| 2014-07-23 holding as of filing | AFRICK ANDREW Director | 3 | Warrants (Right to Buy) Derivative · Direct | Holding | $10.50 exercise price | 2014-07-23 | ||
| 2014-06-06 | ZELDIS JEROME B Director | 4 | Warrant (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,500 4,719 owned after | $4.24 exercise price | 2014-06-10 | |
| 2014-04-14 | CELGENE CORP /DE/ 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +142,857 142,857 owned after | $10.50 exercise price | 2014-04-15 | |
| 2013-11-19 holding as of filing | CELGENE CORP /DE/ 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $5.69 exercise price | 2013-11-19 | ||
| 2013-06-28 | Harborview Value Master Fund, L.P. | STEFANSKY DAVID | Harborview Capital Management, LLC | ROSENBLUM RICHARD Director, Officer (-), 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +617,284 617,284 owned after | $0.10 exercise price | 2013-07-03 | |
| 2013-06-28 | Johnson David Ian Director, Officer (President and CEO) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +617,284 617,284 owned after | $0.10 exercise price | 2013-07-02 | |
| 2013-06-28 | Pearsen Kenneth D. Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +123,457 123,457 owned after | $0.10 exercise price | 2013-07-02 | |
| 2013-06-28 | ZELDIS JEROME B Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,641,975 8,641,975 owned after | $0.10 exercise price | 2013-07-02 | |
| 2013-06-28 | LEONE JOSEPH M Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +123,457 123,457 owned after | $0.10 exercise price | 2013-07-02 | |
| 2013-02-22 | LEONE JOSEPH M Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +246,914 246,914 owned after | $0.10 exercise price | 2013-02-26 | |
| 2013-02-22 | ROSENBLUM RICHARD | Harborview Capital Management, LLC | Harborview Value Master Fund, L.P. | STEFANSKY DAVID | Harborview Advisors, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, Officer (-), 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +617,284 617,284 owned after | $0.10 exercise price | 2013-02-25 | |
| 2013-02-22 | ROSENBLUM RICHARD | Harborview Capital Management, LLC | Harborview Value Master Fund, L.P. | STEFANSKY DAVID | Harborview Advisors, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, Officer (-), 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +617,284 617,284 owned after | $0.10 exercise price | 2013-02-25 | |
| 2013-02-22 | Johnson David Ian Director, Officer (President and CEO) | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +617,284 617,284 owned after | $0.10 exercise price | 2013-02-25 | |
| 2013-02-22 | ZELDIS JEROME B Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,234,568 1,234,568 owned after | $0.10 exercise price | 2013-02-25 | |
| 2012-11-08 | LONDONER KENNETH L Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $0.05 exercise price | 2012-11-13 | |
| 2012-11-08 | STEFANSKY DAVID | Harborview Value Master Fund, L.P. | HARBORVIEW MASTER FUND LP | ROSENBLUM RICHARD | Harborview Capital Management, LLC | Harborview Advisors, LLC Other | Other (-) | Other (-) | Other (-) | Other (-) | Director, Officer (-), 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500,000 2,500,000 owned after | $0.05 exercise price | 2012-11-13 | |
| 2012-11-08 | STEFANSKY DAVID | Harborview Value Master Fund, L.P. | HARBORVIEW MASTER FUND LP | ROSENBLUM RICHARD | Harborview Capital Management, LLC | Harborview Advisors, LLC Other | Other (-) | Other (-) | Other (-) | Other (-) | Director, Officer (-), 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 3,500,000 owned after | $0.05 exercise price | 2012-11-13 | |
| 2012-09-28 | LONDONER KENNETH L Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.05 exercise price | 2012-11-13 | |
| 2012-08-14 | LEONE JOSEPH M Director | 4/A | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +150,000 150,000 owned after | $0.05 exercise price | 2013-02-26 | |
| 2012-08-14 | LEONE JOSEPH M Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +150,000 150,000 owned after | $0.05 exercise price | 2012-08-16 | |
| 2012-02-16 | GOLDBERG MICHAEL M Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000,000 3,250,000 owned after | $0.07 exercise price | 2012-02-21 | |
| 2012-02-16 | Sklar Jeffrey Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +500,000 1,780,000 owned after | $0.07 exercise price | 2012-02-21 | |
| 2012-02-16 | Harborview Capital Management, LLC | STEFANSKY DAVID | Harborview Value Master Fund, L.P. | HARBORVIEW MASTER FUND LP | ROSENBLUM RICHARD | Harborview Advisors, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, Officer (-) | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +500,000 41,178,498 owned after | $0.07 exercise price | 2012-02-21 | |
| 2008-12-24 holding as of filing | SIERCHIO JOSEPH Director | 3 | Warrants Derivative · Direct | Holding | $0.35 exercise price | 2008-12-24 | ||
| 2008-05-23 | RAYAT HARMEL S Director, Officer (SECRETARY, TREASURER, CFO), 10% Owner | 4 | SHARE PURCHASE WARRANTS Derivative · Direct | J Other acquisition or disposition (describe transaction) | +2,065,412 2,065,412 owned after | $0.55 | 2008-05-28 |