COATES INTERNATIONAL LTD \DE\ Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 59 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-31: Reporting owner KAYE BARRY C; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-12-29: Reporting owner Coates George J.; Form 4; Security Series B Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-29: Reporting owner COATES GREGORY G; Form 4; Security Series B Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-29: Reporting owner KAYE BARRY C; Form 4; Security Series B Convertible Preferred Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-31 | KAYE BARRY C Director, Officer (Secretary and Pres. Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −184 82,701 owned after | $0.00 | 2017-01-03 | |
| 2016-12-29 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +297,519 16,160,446 owned after | $0.00 | 2016-12-30 | |
| 2016-12-29 | COATES GREGORY G Director, Officer (Secretary and Pres. Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,000 1,096,989 owned after | $0.00 | 2016-12-30 | |
| 2016-12-29 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,487 82,885 owned after | $0.00 | 2016-12-30 | |
| 2016-12-16 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −115,006 16,160,446 owned after | $0.00 | 2016-12-20 | |
| 2016-12-16 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4/A | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,792 81,398 owned after | $0.00 | 2016-12-20 | |
| 2016-12-08 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63,217 16,275,452 owned after | $0.00 | 2016-12-09 | |
| 2016-12-08 | COATES GREGORY G Director, Officer (Secretary and Pres. Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,037 1,077,989 owned after | $0.00 | 2016-12-09 | |
| 2016-12-08 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +316 84,190 owned after | $0.00 | 2016-12-09 | |
| 2016-12-01 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +439,083 16,900,741 owned after | $0.00 | 2016-12-02 | |
| 2016-12-01 | COATES GREGORY G Director, Officer (Secretary and Pres. Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,042 1,073,952 owned after | $0.00 | 2016-12-02 | |
| 2016-12-01 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,195 83,874 owned after | $0.00 | 2016-12-02 | |
| 2016-10-31 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +756,165 15,773,752 owned after | $0.00 | 2016-11-02 | |
| 2016-10-31 | COATES GREGORY G Director, Officer (Secretary and Pres. Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,290 1,045,910 owned after | $0.00 | 2016-11-02 | |
| 2016-10-31 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,781 81,679 owned after | $0.00 | 2016-11-02 | |
| 2016-09-30 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +627,450 15,016,987 owned after | $0.00 | 2016-10-03 | |
| 2016-09-30 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,071 997,620 owned after | $0.00 | 2016-10-03 | |
| 2016-09-30 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,137 77,898 owned after | $0.00 | 2016-10-03 | |
| 2016-09-14 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +264,977 14,389,537 owned after | $0.00 | 2016-09-16 | |
| 2016-09-14 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,922 957,549 owned after | $0.00 | 2016-09-16 | |
| 2016-09-14 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,325 74,761 owned after | $0.00 | 2016-09-16 | |
| 2016-09-01 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +942,558 14,124,560 owned after | $0.00 | 2016-09-02 | |
| 2016-09-01 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,195 940,627 owned after | $0.00 | 2016-09-02 | |
| 2016-09-01 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,712 73,436 owned after | $0.00 | 2016-09-02 | |
| 2016-08-17 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +950,000 10,859,488 owned after | $0.00 | 2016-08-19 | |
| 2016-08-17 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +950,000 11,809,488 owned after | $0.00 | 2016-08-19 | |
| 2016-08-17 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +950,000 12,759,488 owned after | $0.00 | 2016-08-19 | |
| 2016-08-17 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +422,514 13,182,002 owned after | $0.00 | 2016-08-19 | |
| 2016-08-17 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +208,992 880,432 owned after | $0.00 | 2016-08-19 | |
| 2016-08-17 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,361 68,724 owned after | $0.00 | 2016-08-19 | |
| 2016-08-02 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 9,348,846 owned after | $0.00 | 2016-08-03 | |
| 2016-08-02 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +560,642 9,909,488 owned after | $0.00 | 2016-08-03 | |
| 2016-08-02 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +95,775 671,440 owned after | $0.00 | 2016-08-03 | |
| 2016-08-02 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,498 52,363 owned after | $0.00 | 2016-08-03 | |
| 2016-07-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 7,815,003 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +633,843 8,448,846 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +102,862 575,665 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,053 44,865 owned after | $0.00 | 2016-07-29 | |
| 2016-06-30 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,624,865 6,915,003 owned after | $0.00 | 2016-07-01 | |
| 2016-06-30 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +108,967 472,803 owned after | $0.00 | 2016-07-01 | |
| 2016-06-30 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,530 36,812 owned after | $0.00 | 2016-07-01 | |
| 2016-05-18 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +321,407 5,290,138 owned after | $0.00 | 2016-05-20 | |
| 2016-05-18 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,880 363,836 owned after | $0.00 | 2016-05-20 | |
| 2016-05-18 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,713 28,282 owned after | $0.00 | 2016-05-20 | |
| 2016-04-28 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +454,390 4,968,731 owned after | $0.00 | 2016-05-02 | |
| 2016-04-28 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,933 341,956 owned after | $0.00 | 2016-05-02 | |
| 2016-04-28 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,422 26,569 owned after | $0.00 | 2016-05-02 | |
| 2016-03-25 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +299,142 4,514,341 owned after | $0.00 | 2016-03-28 | |
| 2016-03-25 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,365 311,023 owned after | $0.00 | 2016-03-28 | |
| 2016-03-25 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,594 24,147 owned after | $0.00 | 2016-03-28 | |
| 2016-03-01 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +343,522 4,141,194 owned after | $0.00 | 2016-03-03 | |
| 2016-03-01 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,386 285,620 owned after | $0.00 | 2016-03-03 | |
| 2016-03-01 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,830 22,158 owned after | $0.00 | 2016-03-03 | |
| 2016-01-28 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +317,228 3,797,672 owned after | $0.00 | 2016-02-01 | |
| 2016-01-28 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,596 262,234 owned after | $0.00 | 2016-02-01 | |
| 2016-01-28 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,691 20,328 owned after | $0.00 | 2016-02-01 | |
| 2016-01-07 | COATES GREGORY G Director, Officer (Secretary and Pres, Tech. Div.) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,701 245,676 owned after | $0.00 | 2016-01-07 | |
| 2016-01-06 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +304,086 3,554,449 owned after | $0.00 | 2016-01-07 | |
| 2016-01-06 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,621 19,032 owned after | $0.00 | 2016-01-07 |