CYCLO THERAPEUTICS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows, 21 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-05-23: Reporting owner NOVIT, L.P. | Kusmierz Katarzyna | Novit U.S., Inc.; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-05-23: Reporting owner TATE JEFFREY; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-05-23: Reporting owner Ostronic Francis Patrick; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-05-23: Reporting owner Farnan Joseph J Jr; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-05-23 | NOVIT, L.P. | Kusmierz Katarzyna | Novit U.S., Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,750 0 owned after | $0.25 exercise price | 2018-07-09 | |
| 2018-05-23 | TATE JEFFREY Director, Officer (COO & Chief Scientific Officer) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −250 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-05-23 | Ostronic Francis Patrick Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −500 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-05-23 | Farnan Joseph J Jr Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,500 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-05-23 | FINE N SCOTT Director, Officer (Chief Executive Officer) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,000 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-05-23 | Toig Randall M. Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,000 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-05-23 | SHANAHAN WILLIAM S Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,000 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-05-23 | Sieger Markus Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −500 0 owned after | $0.25 exercise price | 2018-06-28 | |
| 2018-04-23 | NOVIT, L.P. | Novit U.S., Inc. | Kusmierz Katarzyna 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 4,750 owned after | $0.25 exercise price | 2018-04-25 | |
| 2018-04-23 | Toig Randall M. Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000 2,000 owned after | $0.25 exercise price | 2018-04-25 | |
| 2018-04-23 | Sieger Markus Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 500 owned after | $0.25 exercise price | 2018-04-25 | |
| 2018-04-23 | Farnan Joseph J Jr Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,500 1,500 owned after | $0.25 exercise price | 2018-04-25 | |
| 2018-04-23 | FINE N SCOTT Director, Officer (Chief Executive Officer) | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 2,000 owned after | $0.25 exercise price | 2018-04-25 | |
| 2018-04-23 | Ostronic Francis Patrick Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 500 owned after | $0.25 exercise price | 2018-04-25 | |
| 2017-10-23 holding as of filing | NOVIT, L.P. | Kusmierz Katarzyna | Novit U.S., Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | $0.25 exercise price | 2017-10-23 | ||
| 2017-10-18 | FINE N SCOTT Director, Officer (Chief Executive Officer) | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $0.25 exercise price | 2017-10-19 | |
| 2017-10-18 | TATE JEFFREY Director, Officer (COO & Chief Scientific Officer) | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $0.25 exercise price | 2017-10-19 | |
| 2017-10-18 | Sieger Markus Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $0.25 exercise price | 2017-10-19 | |
| 2017-10-18 | SHANAHAN WILLIAM S Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $0.25 exercise price | 2017-10-19 | |
| 2017-10-18 | Ostronic Francis Patrick Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $0.25 exercise price | 2017-10-19 | |
| 2014-02-19 | STRATTAN CE RICK Director | 4 | Series A Preferred Stock Non-derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1 0 owned after | $0.00 | 2014-02-21 |