CURAEGIS TECHNOLOGIES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows, 32 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-26: Reporting owner Kaplan Richard A; Form 4; Security Common Stock Purchase Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-12-19: Reporting owner Drummond Lance F.; Form 3; Security Common Stock Purchase Warrant; Transaction Holding.
- 2018-12-12: Reporting owner Kaplan Richard A; Form 4; Security Common Stock Purchase Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-11-01: Reporting owner Flaum Asher Justin; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-26 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.25 exercise price | 2018-12-27 | |
| 2018-12-19 holding as of filing | Drummond Lance F. Director | 3 | Common Stock Purchase Warrant Derivative · Direct | Holding | $0.33 exercise price | 2018-12-19 | ||
| 2018-12-12 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.25 exercise price | 2018-12-13 | |
| 2018-11-01 | Flaum Asher Justin Director | 4 | Warrant Derivative · Indirect · See Footnote 2 | J Other acquisition or disposition (describe transaction) | −400,000 0 owned after | $0.44 | 2018-11-05 | |
| 2018-11-01 | Flaum Asher Justin Director | 4 | Warrant Derivative · Indirect · See Footnote 2 | J Other acquisition or disposition (describe transaction) | +400,000 400,000 owned after | $0.44 | 2018-11-05 | |
| 2018-10-12 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.25 exercise price | 2018-10-16 | |
| 2018-09-04 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.25 exercise price | 2018-09-05 | |
| 2018-07-10 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.25 exercise price | 2018-08-23 | ||
| 2018-04-26 | Destler William W Director | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,015 15,015 owned after | $0.33 exercise price | 2018-04-27 | |
| 2018-04-17 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +270,270 270,270 owned after | $0.33 exercise price | 2018-04-23 | |
| 2017-11-07 | BONADIO TOM Director | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.50 exercise price | 2017-11-08 | |
| 2017-11-07 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.50 exercise price | 2017-11-08 | |
| 2017-08-25 | Saunders E. Philip Director | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.50 exercise price | 2017-08-28 | |
| 2017-08-10 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.50 exercise price | 2017-08-18 | |
| 2017-07-12 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.50 exercise price | 2017-08-09 | |
| 2016-12-16 | Kaplan Richard A Director, Officer (CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +57,000 57,000 owned after | $0.25 | 2016-12-20 | |
| 2016-12-07 | SICONOLFI GARY A Director | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.25 | 2016-12-08 | |
| 2016-11-07 | GOLISANO B THOMAS 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +468,000 468,000 owned after | $0.25 | 2016-11-09 | |
| 2016-08-30 | Destler William W Director | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.25 | 2016-08-31 | |
| 2016-08-25 | Saunders E. Philip Director | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.25 | 2016-08-30 | |
| 2011-09-30 holding as of filing | GOLISANO B THOMAS 10% Owner | 3 | Warrant Derivative · Direct | Holding | no price filed | 2011-09-30 | ||
| 2006-08-30 holding as of filing | FLAUM DAVID M Director | 3 | common stock warrant Derivative · Indirect · Warrants are owned directly by a company of which Mr. Flaum is a principal | Holding | $3.27 exercise price | 2006-08-30 | ||
| 2006-08-30 | SICONOLFI GARY A Director | 4 | common stock warrant Derivative · Direct | G Bona fide gift | −8,000 452,000 owned after | $0.01 exercise price | 2006-08-30 | |
| 2006-07-27 | SICONOLFI GARY A Director | 4 | common stock warrant Derivative · Direct | G Bona fide gift | −6,000 457,000 owned after | $0.01 exercise price | 2006-07-31 | |
| 2006-06-19 | SICONOLFI GARY A Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +366,000 463,000 owned after | $0.01 exercise price | 2006-06-19 | |
| 2006-06-19 | Rizzo Joseph B Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 9,000 owned after | $0.01 exercise price | 2006-06-19 | |
| 2006-06-19 | DOBBS HERBERT H Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 15,000 owned after | $0.01 exercise price | 2006-06-19 | |
| 2006-06-19 | BICKEL DANIEL R Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,500 67,500 owned after | $0.01 exercise price | 2006-06-19 | |
| 2006-01-30 | DOBBS HERBERT H Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 109,000 owned after | $0.01 exercise price | 2006-02-01 | |
| 2006-01-30 | Rizzo Joseph B Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000 3,000 owned after | $0.01 exercise price | 2006-01-31 | |
| 2006-01-30 | BICKEL DANIEL R Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,250 59,000 owned after | $0.01 exercise price | 2006-01-31 | |
| 2006-01-30 | SICONOLFI GARY A Director | 4 | common stock warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +153,000 253,000 owned after | $0.01 exercise price | 2006-01-31 |