CARDAX, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-05-09: Reporting owner PAULSON CAPITAL (DELAWARE) CORP. | Paulson Cardax Investments 1 LLC | PAULSON INVESTMENT COMPANY, INC.; Form 3; Security Warrants (right to buy); Transaction Holding.
- 2014-05-09: Reporting owner PAULSON INVESTMENT COMPANY, INC. | Paulson Cardax Investments 1 LLC | PAULSON CAPITAL (DELAWARE) CORP.; Form 4; Security Warrants (right to buy); Transaction Holding.
- 2014-02-07: Reporting owner PAULSON INVESTMENT COMPANY, INC. | Paulson Cardax Investments 1 LLC | PAULSON CAPITAL (DELAWARE) CORP.; Form 4; Security Warrants (right to buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-05-09 holding as of filing | PAULSON CAPITAL (DELAWARE) CORP. | Paulson Cardax Investments 1 LLC | PAULSON INVESTMENT COMPANY, INC. 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · By Paulson Cardax Investments 1, LLC | Holding | $0.63 exercise price | 2014-05-09 | ||
| 2014-05-09 holding as of filing | PAULSON INVESTMENT COMPANY, INC. | Paulson Cardax Investments 1 LLC | PAULSON CAPITAL (DELAWARE) CORP. 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By Paulson Cardax Investments 1, LLC | Holding | 3,872,434 owned after | $0.63 exercise price | 2014-05-09 | |
| 2014-02-07 | PAULSON INVESTMENT COMPANY, INC. | Paulson Cardax Investments 1 LLC | PAULSON CAPITAL (DELAWARE) CORP. 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By Paulson Investment Company, Inc. | J Other acquisition or disposition (describe transaction) | +1,068,477 1,068,477 owned after | $0.63 exercise price | 2014-05-09 |