BIOLASE, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows, 31 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-04-28: Reporting owner LORD JONATHAN T MD; Form 4; Security Series G Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-04-28: Reporting owner ROPER JESS; Form 4; Security Series G Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-04-28: Reporting owner BEAVER JOHN R; Form 4; Security Series G Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-07-28: Reporting owner Schuler Education Foundation; Form 4; Security Series F Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-04-28 | LORD JONATHAN T MD Director | 4 | Series G Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,395 0 owned after | no price filed | 2022-05-02 | |
| 2022-04-28 | ROPER JESS Director | 4 | Series G Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −346 0 owned after | no price filed | 2022-05-02 | |
| 2022-04-28 | BEAVER JOHN R Director, Officer (President & CEO) | 4 | Series G Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −555 0 owned after | no price filed | 2022-05-02 | |
| 2020-07-28 | Schuler Education Foundation 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,498 0 owned after | $0.40 exercise price | 2023-05-26 | |
| 2020-07-22 | Schuler Education Foundation 10% Owner | 4 | Series F Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,498 1,498 owned after | $0.40 exercise price | 2023-05-26 | |
| 2020-07-22 | LORD JONATHAN T MD Director | 4 | Series F Convertible Preferred Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6 6 owned after | $0.40 exercise price | 2020-07-23 | |
| 2020-07-22 | Norbe Todd Director, Officer (President and CEO) | 4 | Series F Convertible Preferred Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3 3 owned after | $0.40 exercise price | 2020-07-23 | |
| 2020-07-22 | BEAVER JOHN R Officer (EVP & Chief Financial Officer) | 4 | Series F Convertible Preferred Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7 7 owned after | $0.40 exercise price | 2020-07-23 | |
| 2019-10-29 | ORACLE PARTNERS LP | FEINBERG LARRY N 10% Owner | 10% Owner | 4 | Series E Preferred Stock Non-derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +12,765 12,765 owned after | $57.50 | 2019-10-31 | |
| 2019-10-29 | ORACLE PARTNERS LP | FEINBERG LARRY N 10% Owner | 10% Owner | 4 | Series E Preferred Stock Non-derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +2,783 2,783 owned after | $57.50 | 2019-10-31 | |
| 2019-10-29 | ORACLE PARTNERS LP | FEINBERG LARRY N 10% Owner | 10% Owner | 4 | Series E Preferred Stock Non-derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +1,843 1,843 owned after | $57.50 | 2019-10-31 | |
| 2017-06-30 | Oracle Associates LLC | FEINBERG LARRY N | ORACLE PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −36,986 0 owned after | $1.24 exercise price | 2017-07-05 | |
| 2017-06-30 | Flynn Harold C Jr. Director, Officer (President and CEO) | 4 | Series D Participating Convertible Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −307 0 owned after | $1.24 exercise price | 2017-07-03 | |
| 2017-06-30 | MOLL FREDERIC H Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,921 0 owned after | $1.24 exercise price | 2017-07-03 | |
| 2017-06-30 | LORD JONATHAN T MD Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −768 0 owned after | $1.24 exercise price | 2017-07-03 | |
| 2017-06-30 | CLARK PAUL N Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,563 0 owned after | $1.24 exercise price | 2017-07-03 | |
| 2017-04-18 | LORD JONATHAN T MD Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +768 768 owned after | $124.00 | 2017-04-19 | |
| 2017-04-18 | Flynn Harold C Jr. Director, Officer (President and CEO) | 4 | Series D Participating Convertible Preferred Stock Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +307 307 owned after | $124.00 | 2017-04-19 | |
| 2017-04-18 | CLARK PAUL N Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +1,536 1,536 owned after | $124.00 | 2017-04-19 | |
| 2017-04-18 | Nelson Mark Joseph Officer (SVP & Chief Financial Officer) | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +192 192 owned after | $124.00 | 2017-04-19 | |
| 2017-04-18 | MOLL FREDERIC H Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,921 1,921 owned after | $124.00 | 2017-04-19 | |
| 2016-09-30 | Oracle Associates LLC | ORACLE PARTNERS LP | FEINBERG LARRY N 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −37,091 0 owned after | $1.13 exercise price | 2016-10-05 | |
| 2016-09-30 | Jack W. Schuler Living Trust | SCHULER JACK W 10% Owner | 10% Owner | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −36,991 0 owned after | $1.13 exercise price | 2016-10-04 | |
| 2016-09-30 | Flynn Harold C Jr. Director, Officer (President and CEO) | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · By Trust | C Conversion of derivative security | −354 0 owned after | $1.13 exercise price | 2016-10-04 | |
| 2016-09-30 | CLARK PAUL N Director | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,212 0 owned after | $1.13 exercise price | 2016-10-04 | |
| 2016-09-30 | LORD JONATHAN T MD Director | 4 | Series C Participating Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,770 0 owned after | $1.13 exercise price | 2016-10-04 | |
| 2016-08-08 | ORACLE PARTNERS LP | FEINBERG LARRY N | Oracle Associates LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +37,091 37,091 owned after | $1.13 | 2016-08-10 | |
| 2016-08-01 | CLARK PAUL N Director | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +2,212 2,212 owned after | $113.00 | 2016-08-03 | |
| 2016-08-01 | LORD JONATHAN T MD Director | 4 | Series C Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,770 1,770 owned after | $113.00 | 2016-08-03 | |
| 2016-08-01 | Flynn Harold C Jr. Director, Officer (President and CEO) | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +354 354 owned after | $113.00 | 2016-08-03 | |
| 2016-08-01 | SCHULER JACK W | Jack W. Schuler Living Trust 10% Owner | 10% Owner | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +36,991 36,991 owned after | $113.00 | 2016-08-03 |