BIOLASE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-07-22: Reporting owner Schuler Education Foundation; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-07-22: Reporting owner LORD JONATHAN T MD; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-07-22: Reporting owner Norbe Todd; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-07-22: Reporting owner BEAVER JOHN R; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-07-22 | Schuler Education Foundation 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,745,000 3,745,000 owned after | $0.40 exercise price | 2023-05-26 | |
| 2020-07-22 | LORD JONATHAN T MD Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.40 exercise price | 2020-07-23 | |
| 2020-07-22 | Norbe Todd Director, Officer (President and CEO) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $0.40 exercise price | 2020-07-23 | |
| 2020-07-22 | BEAVER JOHN R Officer (EVP & Chief Financial Officer) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $0.40 exercise price | 2020-07-23 | |
| 2017-06-30 | Oracle Associates LLC | FEINBERG LARRY N | ORACLE PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to acquire Common Stock Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +1,800,535 3,144,811 owned after | $0.13 | 2017-07-05 | |
| 2017-04-18 | LORD JONATHAN T MD Director | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +37,387 37,387 owned after | $0.13 | 2017-04-19 | |
| 2017-04-18 | Flynn Harold C Jr. Director, Officer (President and CEO) | 4 | Warrants (right to buy) Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +14,945 14,945 owned after | $0.13 | 2017-04-19 | |
| 2017-04-18 | CLARK PAUL N Director | 4 | Warrants (right to buy) Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +76,089 76,089 owned after | $0.13 | 2017-04-19 | |
| 2017-04-18 | Nelson Mark Joseph Officer (SVP & Chief Financial Officer) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +9,346 9,346 owned after | $0.13 | 2017-04-19 | |
| 2017-04-18 | MOLL FREDERIC H Director | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +93,517 93,517 owned after | $0.13 | 2017-04-19 | |
| 2016-09-30 | Oracle Associates LLC | ORACLE PARTNERS LP | FEINBERG LARRY N 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to acquire Common Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +850,797 2,194,983 owned after | $2.00 exercise price | 2016-10-05 | |
| 2016-08-08 | ORACLE PARTNERS LP | FEINBERG LARRY N | Oracle Associates LLC 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to acquire Common Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +850,797 2,194,983 owned after | $0.13 | 2016-08-10 | |
| 2016-08-01 | CLARK PAUL N Director | 4 | Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +50,885 50,885 owned after | $0.13 | 2016-08-03 | |
| 2016-08-01 | LORD JONATHAN T MD Director | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,708 40,708 owned after | $0.13 | 2016-08-03 | |
| 2016-08-01 | Flynn Harold C Jr. Director, Officer (President and CEO) | 4 | Warrants (right to buy) Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +8,142 8,142 owned after | $0.13 | 2016-08-03 | |
| 2016-08-01 | SCHULER JACK W | Jack W. Schuler Living Trust 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +850,796 850,796 owned after | $0.13 | 2016-08-03 | |
| 2014-11-03 | FEINBERG LARRY N 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +537,674 537,674 owned after | $0.13 | 2014-11-06 | |
| 2014-11-03 | FEINBERG LARRY N 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +336,047 336,047 owned after | $0.13 | 2014-11-06 | |
| 2014-11-03 | FEINBERG LARRY N 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +470,465 470,465 owned after | $0.13 | 2014-11-06 | |
| 2014-11-03 | CLARK PAUL N Director | 4 | Warrants (right to buy) Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | +263,024 263,024 owned after | $0.13 | 2014-11-05 | |
| 2014-11-03 | Nugent Jeffrey M Director, Officer (Chief Executive Officer) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +26,302 26,302 owned after | $0.13 | 2014-11-05 | |
| 2014-11-03 | LORD JONATHAN T MD Director | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +65,755 65,755 owned after | $0.13 | 2014-11-05 |