Easterly Acquisition Corp. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-11-05: Reporting owner CRATE DARRELL W; Form 4; Security Warrants to acquire common stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-11-05: Reporting owner Kalichstein Avshalom Y; Form 4; Security Warrants to purchase common stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-11-05: Reporting owner Cody David; Form 4; Security Warrants to purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-11-05: Reporting owner Easterly Acquisition Sponsor, LLC; Form 4; Security Warrants to purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-11-05 | CRATE DARRELL W Director | 4 | Warrants to acquire common stock Derivative · Indirect · See footnote (2). | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,750,000 121,500 owned after | $11.50 exercise price | 2018-11-07 | |
| 2018-11-05 | Kalichstein Avshalom Y Director, Officer (CEO), 10% Owner | 4 | Warrants to purchase common stock Derivative · Indirect · See footnote (2). | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,750,000 0 owned after | $11.50 exercise price | 2018-11-07 | |
| 2018-11-05 | Cody David 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Indirect · See footnote (2). | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,750,000 0 owned after | $11.50 exercise price | 2018-11-07 | |
| 2018-11-05 | Easterly Acquisition Sponsor, LLC 10% Owner | 4 | Warrants to purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,750,000 0 owned after | $11.50 exercise price | 2018-11-07 | |
| 2018-09-04 | CRATE DARRELL W Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +84,106 121,500 owned after | $1.27 | 2018-09-05 | |
| 2018-08-31 | CRATE DARRELL W Director, 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +37,394 37,394 owned after | $1.21 | 2018-09-05 |