Fincera Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-01-16: Reporting owner WEISS CAPITAL LLC; Form 3; Security Warrants; Transaction Holding.
- 2009-01-16: Reporting owner WEISS ANDREW M; Form 3; Security Warrants; Transaction Holding.
- 2008-03-06: Reporting owner Private Equity Management Group, LLC; Form 3; Security Warrants; Transaction Holding.
- 2008-03-04: Reporting owner Wu Jimmy Yee-Ming; Form 4; Security Option to Purchase Warrant (Right to buy Common Stock); 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-01-16 holding as of filing | WEISS CAPITAL LLC 10% Owner | 3 | Warrants Derivative · Indirect · See Footnote 2 | Holding | $5.00 exercise price | 2009-01-16 | ||
| 2009-01-16 holding as of filing | WEISS ANDREW M 10% Owner | 3 | Warrants Derivative · Indirect · See Footnote 2 | Holding | $5.00 exercise price | 2009-01-16 | ||
| 2008-03-06 holding as of filing | Private Equity Management Group, LLC 10% Owner | 3 | Warrants Derivative · Direct | Holding | $5.00 exercise price | 2008-03-06 | ||
| 2008-03-04 | Wu Jimmy Yee-Ming Director, Officer (Chief Operating Officer) | 4 | Option to Purchase Warrant (Right to buy Common Stock) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $1.00 | 2008-03-06 | |
| 2008-03-04 | Yu William Tsu-Cheng Director, Officer (Chief Financial Officer) | 4 | Option to Purchase Warrant (Right to buy Common Stock) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250,000 250,000 owned after | $1.00 | 2008-03-06 | |
| 2008-03-04 | Sha James Cheng-Jee Director, Officer (CEO and Chairman), 10% Owner | 4 | Option to Purchase Warrant (Right to buy Common Stock) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +780,000 780,000 owned after | $1.00 | 2008-03-06 | |
| 2008-03-04 | Liu Diana Chia-Huei Director, Officer (President) | 4 | Option to Purchase Warrant (Right to buy Common Stock) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250,000 250,000 owned after | $1.00 | 2008-03-06 |