EDGEWAVE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-09-20: Reporting owner BAUMEL WILLIAM R; Form 4; Security Common Stock Warrant (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-08-02: Reporting owner BAUMEL WILLIAM R; Form 4; Security Common Stock Warrant (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-09-14: Reporting owner van Hedel Bart AM; Form 3/A; Security Warrants; Transaction Holding.
- 2009-09-14: Reporting owner van Hedel Bart AM; Form 3/A; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-09-20 | BAUMEL WILLIAM R Director | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +426 69,976 owned after | $1.10 exercise price | 2010-09-22 | |
| 2010-08-02 | BAUMEL WILLIAM R Director | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See footnote (2) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,550 69,550 owned after | $1.10 exercise price | 2010-08-03 | |
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Warrants Derivative · Indirect · (m) | Holding | $2.98 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Warrants Derivative · Indirect · (m) | Holding | no price filed | 2009-09-14 | ||
| 2007-03-07 | Ryan Louis E Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −20,000 20,000 owned after | $0.24 | 2007-03-08 | |
| 2007-03-07 | Ryan Louis E Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −20,000 20,000 owned after | $0.22 | 2007-03-08 | |
| 2007-03-07 | Ryan Louis E Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −10,000 10,000 owned after | $0.24 | 2007-03-08 | |
| 2007-03-05 | POLANEN HUMPHREY P Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −40,000 40,000 owned after | $0.21 | 2007-03-05 | |
| 2007-03-01 | Ryan Louis E Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −20,000 20,000 owned after | $0.25 | 2007-03-08 | |
| 2007-03-01 | Ryan Louis E Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −30,000 30,000 owned after | $0.26 | 2007-03-08 | |
| 2007-03-01 | POLANEN HUMPHREY P Director | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −10,000 10,000 owned after | $0.20 | 2007-03-05 | |
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Warrants Derivative · Indirect · (m) | Holding | $2.98 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Warrants Derivative · Indirect · (m) | Holding | no price filed | 2006-09-12 | ||
| 2006-09-11 holding as of filing | BROOMFIELD SCOTT Director, Officer (VP of Corporate Development) | 4 | Warrant Derivative · Indirect · N/A | Holding | 105,000 owned after | no price filed | 2006-09-11 | |
| 2006-09-11 holding as of filing | POLANEN HUMPHREY P Director | 4 | Warrant Derivative · Direct | Holding | 108,500 owned after | no price filed | 2006-09-11 | |
| 2006-01-03 | BROOMFIELD SCOTT Director, Officer (VP of Corporate Development) | 4 | WARRANT Derivative · Indirect · Represents Shares held by Trust | P Open market or private purchase of non-derivative or derivative security | +5,000 105,000 owned after | $0.78 | 2006-01-05 | |
| 2005-12-28 | POLANEN HUMPHREY P Director, Officer (Chief Executive Officer) | 4 | WARRANT Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,500 108,500 owned after | $0.78 | 2006-01-03 |