First Physicians Capital Group, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 35 rows, 35 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-03: Reporting owner POTIKER BRIAN | SMP INVESTMENTS I, LLC; Form 4; Security Common Stock Warrants (Right to Buy); Transaction O Exercise of out-of-the-money derivative security.
- 2014-01-01: Reporting owner CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI ANTHONY J | CIABATTONI JANE G.; Form 4; Security Common Stock Warrant (Right to Buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2014-01-01: Reporting owner POTIKER BRIAN | SMP INVESTMENTS I, LLC; Form 4; Security Common Stock Warrants (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-01-01: Reporting owner HOULIHAN WILLIAM A; Form 4; Security Common Stock Warrant (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-02-03 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | O Exercise of out-of-the-money derivative security | −8,500,000 0 owned after | $0.01 exercise price | 2014-04-08 | |
| 2014-01-01 | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI ANTHONY J | CIABATTONI JANE G. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,814,400 1,814,400 owned after | $0.31 exercise price | 2014-06-20 | |
| 2014-01-01 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,834,080 0 owned after | $0.31 exercise price | 2014-06-20 | |
| 2014-01-01 | HOULIHAN WILLIAM A Director, 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,190,400 1,190,400 owned after | $0.31 exercise price | 2014-06-20 | |
| 2010-06-15 | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI ANTHONY J | CIABATTONI JANE G. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −60,000 0 owned after | $0.50 exercise price | 2014-06-20 | |
| 2010-02-06 | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI ANTHONY J | CIABATTONI JANE G. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.50 exercise price | 2014-06-20 | ||
| 2010-02-06 | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI ANTHONY J | CIABATTONI JANE G. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.75 exercise price | 2014-06-20 | ||
| 2010-02-06 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | 83,333 owned after | $0.50 exercise price | 2014-06-20 | |
| 2010-02-06 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.75 exercise price | 2014-06-20 | ||
| 2009-12-08 | Sells Richardson E. Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +0 240,000 owned after | $0.50 exercise price | 2009-12-09 | |
| 2009-10-30 | SMP INVESTMENTS I, LLC | POTIKER BRIAN 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −714,285 0 owned after | $0.45 exercise price | 2009-11-03 | |
| 2009-09-13 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −83,333 125,000 owned after | $0.45 exercise price | 2014-06-20 | |
| 2009-09-13 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −150,000 0 owned after | $0.45 exercise price | 2009-09-15 | |
| 2009-04-16 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −150,000 0 owned after | $0.50 exercise price | 2009-04-20 | |
| 2009-02-11 | CIABATTONI ANTHONY J | CIABATTONI JANE G. | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +500,000 500,000 owned after | $0.50 exercise price | 2009-02-13 | |
| 2009-02-11 | CIABATTONI ANTHONY J | CIABATTONI JANE G. | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.75 exercise price | 2009-02-13 | ||
| 2009-02-11 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250,000 250,000 owned after | $0.50 exercise price | 2009-02-13 | |
| 2009-02-11 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.75 exercise price | 2009-02-13 | ||
| 2008-05-15 | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI JANE G. | CIABATTONI ANTHONY J 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +120,000 120,000 owned after | $0.50 exercise price | 2008-05-16 | |
| 2008-05-01 | SMP INVESTMENTS I, LLC | POTIKER BRIAN 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 600,000 owned after | $0.50 exercise price | 2008-05-02 | |
| 2008-05-01 | CIABATTONI ANTHONY J | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI JANE G. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 300,000 owned after | $0.50 exercise price | 2008-05-02 | |
| 2008-03-31 | SMP INVESTMENTS I, LLC | POTIKER BRIAN 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +600,000 600,000 owned after | $0.50 exercise price | 2008-04-02 | |
| 2008-03-31 | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 | CIABATTONI ANTHONY J | CIABATTONI JANE G. 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +240,000 240,000 owned after | $0.50 exercise price | 2008-04-02 | |
| 2008-03-21 | SMP INVESTMENTS I, LLC | POTIKER BRIAN 10% Owner | 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +714,285 714,285 owned after | $0.45 exercise price | 2008-03-25 | |
| 2007-11-08 holding as of filing | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.50 exercise price | 2007-11-08 | ||
| 2007-11-08 holding as of filing | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.50 exercise price | 2007-11-08 | ||
| 2007-11-08 holding as of filing | CIABATTONI LIVING TRUST U/A/D AUGUST 17, 2000 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.31 exercise price | 2007-11-08 | ||
| 2007-11-08 holding as of filing | SMP INVESTMENTS I, LLC 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.50 exercise price | 2007-11-08 | ||
| 2007-11-08 holding as of filing | SMP INVESTMENTS I, LLC 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.50 exercise price | 2007-11-08 | ||
| 2007-11-08 holding as of filing | SMP INVESTMENTS I, LLC 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Direct | Holding | $0.31 exercise price | 2007-11-08 | ||
| 2007-09-13 | POTIKER BRIAN | SMP INVESTMENTS I, LLC 10% Owner | 10% Owner | 4 | Common Stock Warrants (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 0 owned after | $0.45 exercise price | 2014-06-20 | |
| 2006-09-18 | Parker Todd Director | 4 | Common Stock Warrant (right to purchase) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +21,000 21,000 owned after | no price filed | 2008-01-28 | |
| 2006-09-18 | Hirschhorn David Director, Officer (President and CEO) | 4 | Common Stock Warrants (right to purchase) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,000 15,000 owned after | no price filed | 2008-01-28 | |
| 2006-09-18 | Smith Dennis M. Director, Officer (Secretary and CFO) | 4/A | Common Stock Warrant (right to purchase) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,000 15,000 owned after | no price filed | 2008-01-28 | |
| 2006-09-18 | Smith Dennis M. Director, Officer (Secretary and CFO) | 4 | Common Stock Warrant (right to purchase) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −15,000 15,000 owned after | no price filed | 2008-01-08 |