EAU TECHNOLOGIES, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 50 rows, 50 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-04-10: Reporting owner Ullrich Peter; Form 4; Security Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-01-31: Reporting owner Ullrich Peter; Form 4; Security Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-31: Reporting owner Ullrich Peter; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2011-12-31: Reporting owner Ullrich Peter; Form 4; Security Warrant; 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 | Ullrich Peter Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +303,000 303,000 owned after | $0.31 exercise price | 2014-04-16 | |
| 2013-01-31 | Ullrich Peter Director, 10% Owner | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,300,000 1,300,000 owned after | $0.31 exercise price | 2013-02-07 | |
| 2011-12-31 | Ullrich Peter Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,806,452 1,162,779 owned after | $0.31 exercise price | 2012-04-16 | |
| 2011-12-31 | Ullrich Peter Director, 10% Owner | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +358,527 358,527 owned after | $0.31 exercise price | 2012-04-16 | |
| 2011-03-28 | Montgomery J Leo Director | 4 | Common Stock Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −500,000 0 owned after | $2.76 exercise price | 2011-03-30 | |
| 2010-10-21 | Ullrich Peter Director, 10% Owner | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,969,231 6,969,231 owned after | $0.31 exercise price | 2012-04-16 | |
| 2008-09-03 | Ullrich Peter Director, 10% Owner | 4 | Warrant/Right to Buy/Obligation to Sell Derivative · Indirect · By Water Science, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −461,539 0 owned after | $1.30 | 2008-09-04 | |
| 2008-09-03 | Water Science, LLC 10% Owner | 4 | Warrant/Right to Buy/Obligation to Sell Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −461,539 0 owned after | $1.30 | 2008-09-04 | |
| 2008-06-27 | Water Science, LLC 10% Owner | 4 | Warrant/Right to Buy/Obligation to Sell Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −461,538 461,538 owned after | $1.30 | 2008-06-27 | |
| 2008-06-27 | Ullrich Peter Director, 10% Owner | 4 | Warrant/Right to Buy/Obligation to Sell Derivative · Indirect · By Water Sceince, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −461,538 461,538 owned after | $1.30 | 2008-06-27 | |
| 2008-05-20 | Water Science, LLC 10% Owner | 4 | Warrant/Right to Buy/Obligation to Sell Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −769,230 923,076 owned after | $1.30 | 2008-06-27 | |
| 2008-05-20 | Ullrich Peter Director, 10% Owner | 4 | Warrant/Right to Buy/Obligation to Sell Derivative · Indirect · By Water Science, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −769,230 923,076 owned after | $1.30 | 2008-05-21 | |
| 2007-11-07 holding as of filing | Montgomery J Leo Director | 3 | Common Stock Warrant (right to buy) Derivative · Direct | Holding | $2.76 exercise price | 2007-11-07 | ||
| 2007-10-09 | Water Science, LLC 10% Owner | 4 | Warrant / Right to Buy / Obligation to Sell Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,538,463 1,692,306 owned after | $1.30 exercise price | 2007-10-10 | |
| 2007-10-09 | Ullrich Peter Director, 10% Owner | 4 | Warrant / Right to Buy / Obligation to Sell Derivative · Indirect · By Water Science, LLC | X Exercise of in-the-money or at-the-money derivative security | −1,538,463 1,692,306 owned after | $1.30 exercise price | 2007-10-10 | |
| 2007-05-09 | Water Science, LLC 10% Owner | 4 | Warrant / Right to Buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000,000 0 owned after | $2.76 exercise price | 2007-05-16 | |
| 2007-05-09 | Water Science, LLC 10% Owner | 4 | Warrant / Right to Buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,400,000 0 owned after | $2.76 exercise price | 2007-05-16 | |
| 2007-05-09 | Water Science, LLC 10% Owner | 4 | Warrant / Right to Buy Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,169,231 5,169,231 owned after | $1.30 exercise price | 2007-05-16 | |
| 2007-05-09 | Water Science, LLC 10% Owner | 4 | Warrant / Right to Buy / Obligation to Buy Derivative · Direct | S Open market or private sale of non-derivative or derivative security | +3,230,769 3,230,769 owned after | $1.30 exercise price | 2007-05-16 | |
| 2007-05-09 | Ullrich Peter Director, 10% Owner | 4 | Warrant / Right to Buy Derivative · Indirect · By Water Science, LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000,000 0 owned after | $2.76 exercise price | 2007-05-16 | |
| 2007-05-09 | Ullrich Peter Director, 10% Owner | 4 | Warrant / Right to Buy Derivative · Indirect · By Water Science, LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,400,000 0 owned after | $2.76 exercise price | 2007-05-16 | |
| 2007-05-09 | Ullrich Peter Director, 10% Owner | 4 | Warrant / Right to Buy Derivative · Indirect · By Water Science, LLC | P Open market or private purchase of non-derivative or derivative security | +5,169,231 5,169,231 owned after | $1.30 exercise price | 2007-05-16 | |
| 2007-05-09 | Ullrich Peter Director, 10% Owner | 4 | Warrant / Right to Buy / Obligation to Buy Derivative · Indirect · By Water Science, LLC | S Open market or private sale of non-derivative or derivative security | +3,230,769 3,230,769 owned after | $1.30 exercise price | 2007-05-16 | |
| 2007-01-19 holding as of filing | Ullrich Peter 10% Owner | 4 | Warrants Derivative · Indirect · By Water Science, LLC | Holding | 2,000,000 owned after | $2.76 exercise price | 2007-01-19 | |
| 2007-01-19 holding as of filing | Ullrich Peter 10% Owner | 4 | Warrants Derivative · Indirect · By Water Science, LLC | Holding | 6,400,000 owned after | $2.76 exercise price | 2007-01-19 | |
| 2007-01-12 holding as of filing | Ullrich Peter 10% Owner | 4 | Warrant Derivative · Indirect · By Water Science, LLC | Holding | 2,000,000 owned after | $2.76 exercise price | 2007-01-12 | |
| 2007-01-12 holding as of filing | Ullrich Peter 10% Owner | 4 | Warrant Derivative · Indirect · By Water Science, LLC | Holding | 6,400,000 owned after | $2.76 exercise price | 2007-01-12 | |
| 2006-09-20 holding as of filing | Water Science, LLC 10% Owner | 4 | Warrant Derivative · Direct | Holding | 2,000,000 owned after | $2.76 exercise price | 2006-09-20 | |
| 2006-09-20 holding as of filing | Water Science, LLC 10% Owner | 4 | Warrant Derivative · Direct | Holding | 6,400,000 owned after | $2.76 exercise price | 2006-09-20 | |
| 2006-09-18 holding as of filing | Ullrich Peter 10% Owner | 4 | Warrant Derivative · Indirect · By Water Science, LLC | Holding | 2,000,000 owned after | $2.76 exercise price | 2006-09-18 | |
| 2006-09-18 holding as of filing | Ullrich Peter 10% Owner | 4 | Warrant Derivative · Indirect · By Water Science, LLC | Holding | 6,400,000 owned after | $2.76 exercise price | 2006-09-18 | |
| 2006-05-08 holding as of filing | Water Science, LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $2.76 exercise price | 2006-05-08 | ||
| 2006-05-08 holding as of filing | Water Science, LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $2.76 exercise price | 2006-05-08 | ||
| 2006-05-08 holding as of filing | Ullrich Peter 10% Owner | 3 | Warrant Derivative · Indirect · Sole Member of Water Science, LLC, the direct owner | Holding | $2.76 exercise price | 2006-05-08 | ||
| 2006-05-08 holding as of filing | Ullrich Peter 10% Owner | 3 | Warrant Derivative · Indirect · Sole Member of Water Science, LLC, the direct owner | Holding | $2.76 exercise price | 2006-05-08 | ||
| 2005-09-23 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Nexcore | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78,885 78,885 owned after | $3.17 exercise price | 2007-04-02 | |
| 2005-06-01 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.01 exercise price | 2007-04-02 | |
| 2005-05-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $5.00 exercise price | 2007-04-02 | |
| 2005-05-01 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.00 exercise price | 2007-04-02 | |
| 2005-04-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.00 exercise price | 2007-04-02 | |
| 2005-04-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Nexcore | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,800 73,800 owned after | $5.00 exercise price | 2007-04-02 | |
| 2005-04-01 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $2.50 exercise price | 2007-04-02 | |
| 2005-03-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $2.00 exercise price | 2007-04-02 | |
| 2005-03-01 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $1.50 exercise price | 2007-04-02 | |
| 2005-02-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $1.00 exercise price | 2007-04-02 | |
| 2005-02-01 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20 20,000 owned after | $0.50 exercise price | 2007-04-02 | |
| 2005-01-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.01 exercise price | 2007-04-02 | |
| 2004-12-31 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Nexcore | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,481 75,481 owned after | $5.00 exercise price | 2007-04-02 | |
| 2004-11-15 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Integra | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $2.50 exercise price | 2007-04-02 | |
| 2003-06-01 | POTTER JAY S Director, Officer (Chairman and Interim CEO) | 5 | Common Stock Warrants (Right to Buy) Derivative · Indirect · By Nexcore | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.50 exercise price | 2007-04-02 |