EAU TECHNOLOGIES, INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-04-10: Reporting owner Water Science, LLC; Form 4; Security Convertible Promissory Note; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-04-10: Reporting owner Ullrich Peter; Form 4; Security 10% Convertible Note due November 2014; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-04-10: Reporting owner Ullrich Peter; Form 4; Security 10% Convertible Note due November 2014; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-04-10: Reporting owner Ullrich Peter; Form 4; Security 10% Convertible Note due November 2014; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-04-10 | Water Science, LLC 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2014-04-16 | |
| 2014-04-10 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2014 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +977,419 977,419 owned after | $0.31 exercise price | 2014-04-16 | |
| 2014-04-10 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2014 Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −358,527 358,527 owned after | $0.31 exercise price | 2014-04-16 | |
| 2014-04-10 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2014 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +358,527 358,527 owned after | $0.31 exercise price | 2014-04-16 | |
| 2014-04-10 | Ullrich Peter Director, 10% Owner | 4 | Convertbile Promissory Note Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,000,000 3,000,000 owned after | $1.00 exercise price | 2014-04-16 | |
| 2014-04-10 | Ullrich Peter Director, 10% Owner | 4 | Convertbile Promissory Note Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2014-04-16 | |
| 2014-01-31 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2014 Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,274,193 4,274,193 owned after | $0.31 exercise price | 2014-04-16 | |
| 2014-01-31 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2014 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,274,193 4,274,193 owned after | $0.31 exercise price | 2014-04-16 | |
| 2013-01-31 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2013 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,274,193 4,274,193 owned after | $0.31 exercise price | 2013-02-07 | |
| 2011-12-31 | Ullrich Peter Director, 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2012-04-16 | |
| 2011-12-13 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2013 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +358,527 358,527 owned after | $1.00 exercise price | 2012-04-16 | |
| 2009-08-27 | Water Science, LLC 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2009-08-31 | |
| 2009-08-27 | Ullrich Peter Director, 10% Owner | 4 | 10% Convertible Note due November 2010 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $1.00 exercise price | 2009-08-31 | |
| 2009-08-27 | Ullrich Peter Director, 10% Owner | 4 | Convertible Promissory Note Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2009-08-31 | |
| 2008-10-06 | Water Science, LLC 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2008-10-16 | |
| 2008-10-06 | Ullrich Peter Director, 10% Owner | 4 | Convertible Promissory Note Derivative · Indirect · By Water Science, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $1.00 exercise price | 2008-10-16 | |
| 2007-01-19 holding as of filing | Ullrich Peter 10% Owner | 4 | Convertible Note Derivative · Indirect · By Water Science, LLC | Holding | 1,000,000 owned after | $3.00 exercise price | 2007-01-19 | |
| 2007-01-12 holding as of filing | Ullrich Peter 10% Owner | 4 | Convertible Note Derivative · Indirect · By Water Science, LLC | Holding | 1,000,000 owned after | $3.00 exercise price | 2007-01-12 | |
| 2006-09-20 holding as of filing | Water Science, LLC 10% Owner | 4 | Convertible Note Derivative · Direct | Holding | 1,000,000 owned after | $3.00 exercise price | 2006-09-20 | |
| 2006-09-18 holding as of filing | Ullrich Peter 10% Owner | 4 | Convertible Note Derivative · Indirect · By Water Science, LLC | Holding | 1,000,000 owned after | $3.00 exercise price | 2006-09-18 | |
| 2006-05-08 holding as of filing | Water Science, LLC 10% Owner | 3 | Convertible Note Derivative · Direct | Holding | $3.00 exercise price | 2006-05-08 | ||
| 2006-05-08 holding as of filing | Ullrich Peter 10% Owner | 3 | Convertible Note Derivative · Indirect · Sole Member of Water Science, LLC, the direct owner | Holding | $3.00 exercise price | 2006-05-08 |