AURASOUND, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows, 25 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-08-10: Reporting owner SUNNY WORLD ASSOCIATES LTD; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2010-08-10: Reporting owner Weisshaupt Harald; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2010-08-04: Reporting owner GGEC AMERICA INC; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2010-08-04: Reporting owner GGEC AMERICA INC; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-08-10 holding as of filing | SUNNY WORLD ASSOCIATES LTD 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.00 exercise price | 2010-08-10 | ||
| 2010-08-10 holding as of filing | Weisshaupt Harald Director, Officer (CEO and CFO), 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · By Sunny World Associates Ltd. | Holding | $1.00 exercise price | 2010-08-10 | ||
| 2010-08-04 holding as of filing | GGEC AMERICA INC 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.00 exercise price | 2010-08-04 | ||
| 2010-08-04 holding as of filing | GGEC AMERICA INC 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.75 exercise price | 2010-08-04 | ||
| 2010-08-03 holding as of filing | TRAN VIDIAN Director | 3 | Warrant to purchase common stock Derivative · Direct | Holding | $0.75 exercise price | 2010-08-03 | ||
| 2010-07-10 | North Donald Officer (Vice President of Engineering) | 4 | Warrant to purchase common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.75 exercise price | 2010-08-06 | |
| 2008-09-25 holding as of filing | VCAF GP, LLC | Vision Capital Advantage Fund, L.P. 10% Owner | 10% Owner | 3 | Series A Warrant Derivative · Direct | Holding | $1.50 exercise price | 2008-09-25 | ||
| 2008-09-23 | BENOWITZ ADAM | VISION CAPITAL ADVISORS, LLC | VISION OPPORTUNITY MASTER FUND, LTD. 10% Owner | 10% Owner | 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Vision Opportunity Master Fund, Ltd. | S Open market or private sale of non-derivative or derivative security | −1,710,978 5,789,022 owned after | $0.13 | 2008-09-25 | |
| 2008-09-23 | BENOWITZ ADAM | VISION CAPITAL ADVISORS, LLC | VISION OPPORTUNITY MASTER FUND, LTD. 10% Owner | 10% Owner | 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Vision Capital Advantage Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +1,710,978 1,710,978 owned after | $0.13 | 2008-09-25 | |
| 2008-06-01 | Premier RENN Entrepreneurial Fund Ltd 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −92,592 500,000 owned after | $1.35 | 2009-02-09 | |
| 2008-06-01 | Premier RENN Entrepreneurial Fund Ltd 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −92,592 5,000,000 owned after | $1.50 | 2009-02-09 | |
| 2008-06-01 | GLOBAL SPECIAL OPPORTUNITIES TRUST PLC 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −370,370 1,000,000 owned after | $1.35 | 2009-02-09 | |
| 2008-06-01 | GLOBAL SPECIAL OPPORTUNITIES TRUST PLC 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −370,370 1,000,000 owned after | $1.50 | 2009-02-09 | |
| 2008-06-01 | RENAISSANCE US GROWTH INVESTMENT TRUST PLC 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −740,741 2,000,000 owned after | $1.35 | 2009-02-09 | |
| 2008-06-01 | RENAISSANCE US GROWTH INVESTMENT TRUST PLC 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −740,741 2,000,000 owned after | $1.50 | 2009-02-09 | |
| 2008-06-01 | RENAISSANCE CAPITAL GROWTH & INCOME FUND III INC 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −370,370 1,000,000 owned after | $1.35 | 2009-02-09 | |
| 2008-06-01 | RENAISSANCE CAPITAL GROWTH & INCOME FUND III INC 10% Owner | 5 | warrant (right to buy) Derivative · Direct | E Expiration of short derivative position | −370,370 1,000,000 owned after | $1.50 | 2009-02-09 | |
| 2007-11-15 holding as of filing | VISION OPPORTUNITY MASTER FUND, LTD. | BENOWITZ ADAM | VISION CAPITAL ADVISORS, LLC 10% Owner | 10% Owner | 10% Owner | 3/A | Warrant (right to buy) Derivative · Indirect · Vision Opportunity Master Fund, Ltd. | Holding | $1.50 exercise price | 2007-11-15 | ||
| 2007-07-19 holding as of filing | Vision Opportunity Master Fund Ltd 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.50 exercise price | 2007-07-19 | ||
| 2007-06-18 holding as of filing | RENAISSANCE US GROWTH INVESTMENT TRUST PLC 10% Owner | 3 | Warrant (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-06-18 | ||
| 2007-06-18 holding as of filing | RENAISSANCE US GROWTH INVESTMENT TRUST PLC 10% Owner | 3 | Additional Investment Option Warrant (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-06-18 | ||
| 2007-06-18 holding as of filing | BFS US SPECIAL OPPORTUNITIES TRUST PLC 10% Owner | 3 | Warrant (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-06-18 | ||
| 2007-06-18 holding as of filing | BFS US SPECIAL OPPORTUNITIES TRUST PLC 10% Owner | 3 | Additional Investment Option Warrant (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-06-18 | ||
| 2007-06-18 holding as of filing | RENAISSANCE CAPITAL GROWTH & INCOME FUND III INC 10% Owner | 3 | Warrant (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-06-18 | ||
| 2007-06-18 holding as of filing | RENAISSANCE CAPITAL GROWTH & INCOME FUND III INC 10% Owner | 3 | Additional Investment Option Warrant (Right to Buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-06-18 |