BALQON CORP. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-16: Reporting owner Seven One Ltd | Chung Winston; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2010-12-16: Reporting owner Seven One Ltd | Chung Winston; Form 3; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2010-12-14: Reporting owner Seven One Ltd | Chung Winston; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2010-12-14: Reporting owner Seven One Ltd | Chung Winston; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-12-16 holding as of filing | Seven One Ltd | Chung Winston 10% Owner | Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · see footnote (1) | Holding | $0.64 exercise price | 2010-12-16 | ||
| 2010-12-16 holding as of filing | Seven One Ltd | Chung Winston 10% Owner | Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · see footnote (1) | Holding | $1.50 exercise price | 2010-12-16 | ||
| 2010-12-14 | Seven One Ltd | Chung Winston 10% Owner | Director, 10% Owner | 4 | Warrant Derivative · Indirect · see footnote | J Other acquisition or disposition (describe transaction) | +7,812,500 7,812,500 owned after | $0.64 exercise price | 2010-12-16 | |
| 2010-12-14 | Seven One Ltd | Chung Winston 10% Owner | Director, 10% Owner | 4 | Warrant Derivative · Indirect · see footnote | J Other acquisition or disposition (describe transaction) | +1,500,000 1,500,000 owned after | $1.50 exercise price | 2010-12-16 | |
| 2008-10-24 | SHUKUR K JOHN | Shukur Marla Ann Other (former Pres,Sec,CFO,10%,dir.) | Other (former 10% owner) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +10,000 10,000 owned after | $1.50 exercise price | 2008-10-28 | |
| 2008-10-24 | SHUKUR K JOHN | Shukur Marla Ann Other (former Pres,Sec,CFO,10%,dir.) | Other (former 10% owner) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +10,000 10,000 owned after | $2.00 exercise price | 2008-10-28 | |
| 2008-10-24 | SHUKUR K JOHN | Shukur Marla Ann Other (former Pres,Sec,CFO,10%,dir.) | Other (former 10% owner) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +10,000 10,000 owned after | $2.50 exercise price | 2008-10-28 | |
| 2008-10-24 | Andre Mark Christopher Other (former, 10% owner) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,333 3,333 owned after | $1.50 exercise price | 2008-10-28 | |
| 2008-10-24 | Andre Mark Christopher Other (former, 10% owner) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,333 3,333 owned after | $2.00 exercise price | 2008-10-28 | |
| 2008-10-24 | Andre Mark Christopher Other (former, 10% owner) | 4 | Warrant (right to purchase) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,334 3,334 owned after | $2.50 exercise price | 2008-10-28 |