Evolucia 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: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-05-06: Reporting owner Siegfried Thomas A.; Form 4; Security 9% Convertible Promissory Note; Transaction Holding.
- 2012-12-20: Reporting owner Siegfried Thomas A.; Form 4; Security 9% Convertible Promissory Note; Transaction Holding.
- 2011-06-10: Reporting owner Siegfried Thomas A.; Form 4; Security 9% Convertible Secured Promissory Notes; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2011-06-10: Reporting owner Buckland Arthur; Form 4; Security 9% Convertible Secured Promissory Notes; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-05-06 holding as of filing | Siegfried Thomas A. Director | 4 | 9% Convertible Promissory Note Derivative · Indirect · (m) | Holding | 2,500,000 owned after | $0.02 exercise price | 2013-05-06 | |
| 2012-12-20 holding as of filing | Siegfried Thomas A. Director | 4 | 9% Convertible Promissory Note Derivative · Direct | Holding | 2,500,000 owned after | $0.02 exercise price | 2012-12-20 | |
| 2011-06-10 | Siegfried Thomas A. Director | 4 | 9% Convertible Secured Promissory Notes Derivative · Indirect · Trustee and sole beneficiary of the Thomas A. Siegfried Living Trust. | P Open market or private purchase of non-derivative or derivative security | +1,666,666 1,666,666 owned after | $100,000.00 | 2011-06-14 | |
| 2011-06-10 | Buckland Arthur Director, Officer (CEO) | 4 | 9% Convertible Secured Promissory Notes Derivative · Indirect · Custodian for Minor Son | P Open market or private purchase of non-derivative or derivative security | +1,666,666 73,666,666 owned after | $100,000.00 | 2011-06-14 | |
| 2011-06-10 | Buckland Arthur Director, Officer (CEO) | 4 | 9% Convertible Secured Promissory Notes Derivative · Indirect · Owned jointly by Wife and Son | P Open market or private purchase of non-derivative or derivative security | +1,666,666 75,333,333 owned after | $100,000.00 | 2011-06-14 |