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: 62 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-27: 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).
- 2017-12-27: 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).
- 2017-12-27: 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).
- 2017-11-27: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-27 | 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) | +22,849 211,105 owned after | $0.00 | 2017-12-29 | |
| 2017-12-27 | 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) | +1,730 16,130 owned after | $0.00 | 2017-12-29 | |
| 2017-12-27 | 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) | +135 1,236 owned after | $0.00 | 2017-12-29 | |
| 2017-11-27 | 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 34,208,066 owned after | $0.00 | 2017-11-28 | |
| 2017-11-27 | 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 35,108,066 owned after | $0.00 | 2017-11-28 | |
| 2017-11-27 | 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 36,008,066 owned after | $0.00 | 2017-11-28 | |
| 2017-11-27 | 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 36,908,066 owned after | $0.00 | 2017-11-28 | |
| 2017-11-27 | 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) | +742,533 37,650,599 owned after | $0.00 | 2017-11-28 | |
| 2017-11-27 | 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) | +328,711 2,879,848 owned after | $0.00 | 2017-11-28 | |
| 2017-11-27 | 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) | +25,734 220,954 owned after | $0.00 | 2017-11-28 | |
| 2017-09-21 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 31,703,396 owned after | $0.00 | 2017-09-25 | |
| 2017-09-21 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 32,603,396 owned after | $0.00 | 2017-09-25 | |
| 2017-09-21 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +704,670 33,308,066 owned after | $0.00 | 2017-09-25 | |
| 2017-09-21 | 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) | +189,592 2,551,137 owned after | $0.00 | 2017-09-25 | |
| 2017-09-21 | 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) | +14,842 195,220 owned after | $0.00 | 2017-09-25 | |
| 2017-09-08 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 29,150,323 owned after | $0.00 | 2017-09-12 | |
| 2017-09-08 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 30,050,323 owned after | $0.00 | 2017-09-12 | |
| 2017-09-08 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +753,073 30,803,396 owned after | $0.00 | 2017-09-12 | |
| 2017-09-08 | COATES GREGORY G 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) | +193,256 2,361,545 owned after | $0.00 | 2017-09-12 | |
| 2017-09-08 | 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) | +15,130 180,378 owned after | $0.00 | 2017-09-12 | |
| 2017-07-27 | 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) | +323,407 2,168,289 owned after | $0.00 | 2017-07-28 | |
| 2017-07-27 | 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 24,877,864 owned after | $0.00 | 2017-07-28 | |
| 2017-07-27 | 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 25,777,864 owned after | $0.00 | 2017-07-28 | |
| 2017-07-27 | 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 26,677,864 owned after | $0.00 | 2017-07-28 | |
| 2017-07-27 | 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 27,577,864 owned after | $0.00 | 2017-07-28 | |
| 2017-07-27 | 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) | +672,459 28,250,323 owned after | $0.00 | 2017-07-28 | |
| 2017-07-27 | 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) | +25,318 165,248 owned after | $0.00 | 2017-07-28 | |
| 2017-06-23 | COATES GREGORY G Director, Officer (Secretary and Pres. Tech. Div.) | 4/A | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +74,219 1,844,882 owned after | $0.00 | 2017-06-26 | |
| 2017-06-23 | 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) | +980,504 23,977,864 owned after | $0.00 | 2017-06-23 | |
| 2017-06-23 | 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) | +74,219 1,844,882 owned after | $0.00 | 2017-06-23 | |
| 2017-06-23 | 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) | +5,811 139,119 owned after | $0.00 | 2017-06-23 | |
| 2017-06-08 | 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) | +900,000 22,681,537 owned after | $0.00 | 2017-06-09 | |
| 2017-06-08 | 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) | +315,823 22,997,360 owned after | $0.00 | 2017-06-09 | |
| 2017-06-08 | 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) | +92,033 1,770,663 owned after | $0.00 | 2017-06-09 | |
| 2017-06-08 | 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) | +7,205 134,119 owned after | $0.00 | 2017-06-09 | |
| 2017-05-12 | 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 19,983,637 owned after | $0.00 | 2017-05-15 | |
| 2017-05-12 | 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 20,883,637 owned after | $0.00 | 2017-05-15 | |
| 2017-05-12 | 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) | +897,900 21,781,537 owned after | $0.00 | 2017-05-15 | |
| 2017-05-12 | 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) | +204,219 1,678,630 owned after | $0.00 | 2017-05-15 | |
| 2017-05-12 | 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) | +15,987 126,914 owned after | $0.00 | 2017-05-15 | |
| 2017-05-02 | 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 16,574,047 owned after | $0.00 | 2017-05-04 | |
| 2017-05-02 | 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 17,474,047 owned after | $0.00 | 2017-05-04 | |
| 2017-05-02 | 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 18,374,047 owned after | $0.00 | 2017-05-04 | |
| 2017-05-02 | 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) | +709,590 19,083,637 owned after | $0.00 | 2017-05-04 | |
| 2017-05-02 | 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) | +258,091 1,474,411 owned after | $0.00 | 2017-05-04 | |
| 2017-05-02 | 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) | +20,205 110,927 owned after | $0.00 | 2017-05-04 | |
| 2017-03-31 | Coates George J. Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +601,153 15,674,047 owned after | $0.00 | 2017-04-04 | |
| 2017-03-31 | 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) | +45,504 1,216,320 owned after | $0.00 | 2017-04-04 | |
| 2017-03-31 | 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) | +3,613 90,722 owned after | $0.00 | 2017-04-04 | |
| 2017-02-22 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4/A | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,322 87,109 owned after | $0.00 | 2017-02-24 | |
| 2017-02-22 | KAYE BARRY C Director, Officer (Treasurer and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,322 87,109 owned after | $0.00 | 2017-02-24 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series A Preferred Stock Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +670,219 720,219 owned after | $0.00 | 2017-01-31 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −900,000 16,352,535 owned after | $0.00 | 2017-01-31 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −256,015 16,096,520 owned after | $0.00 | 2017-01-31 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −297,519 15,799,001 owned after | $0.00 | 2017-01-31 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −63,217 15,735,784 owned after | $0.00 | 2017-01-31 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −439,083 15,296,701 owned after | $0.00 | 2017-01-31 | |
| 2017-01-27 | Coates George J. Director, Officer (President and CEO), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −585,252 14,711,449 owned after | $0.00 | 2017-01-31 | |
| 2017-01-19 | 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 17,357,965 owned after | $0.00 | 2017-01-20 | |
| 2017-01-19 | 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) | +256,015 17,613,980 owned after | $0.00 | 2017-01-20 | |
| 2017-01-19 | 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) | +73,827 1,170,816 owned after | $0.00 | 2017-01-20 | |
| 2017-01-19 | 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) | +5,780 88,481 owned after | $0.00 | 2017-01-20 |