Great Basin Scientific, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 87 rows, 87 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-08-21: Reporting owner Spafford David; Form 4; Security Series E Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-03-13: Reporting owner Spafford David; Form 4; Security Series E Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-03-12: Reporting owner Spafford David; Form 4; Security Series E Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-03-11: Reporting owner Spafford David; Form 4; Security Series E Convertible Preferred 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-08-21 | Spafford David Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | P Open market or private purchase of non-derivative or derivative security | +585 23,090 owned after | no price filed | 2015-08-24 | |
| 2015-03-13 | Spafford David Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | P Open market or private purchase of non-derivative or derivative security | +3,300 20,750 owned after | no price filed | 2015-03-13 | |
| 2015-03-12 | Spafford David Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | P Open market or private purchase of non-derivative or derivative security | +10,000 17,450 owned after | no price filed | 2015-03-13 | |
| 2015-03-11 | Spafford David Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | P Open market or private purchase of non-derivative or derivative security | +7,450 7,450 owned after | no price filed | 2015-03-13 | |
| 2014-10-17 holding as of filing | SSA Ventures, LLC 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | SSA Ventures, LLC 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | SSA Ventures, LLC 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By SBS Charitable Remainder Trust U/A/D November 27, 1995 | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By DRS Charitable Remainder Trust U/A/D May 5, 1993 | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · By Bourne Spafford Charitable Trust U/A/D May 15, 1995 | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · By DRS Charitable Remainder Trust U/A/D May 5, 1993 | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · By Bourne Spafford Charitable Trust U/A/D May 15, 1995 | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series C-1 Convertible Preferred Stock Derivative · Indirect · By SBS Charitable Remainder Trust U/A/D November 27, 1995 | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series D Convertible Preferred Stock Derivative · Indirect · By Spring Forth Investments, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Spafford David Director | 3/A | Series D Convertible Preferred Stock Derivative · Indirect · By DRS, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | SBS Charitable Remainder Trust U/A/D November 27, 1995 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | SBS Charitable Remainder Trust U/A/D November 27, 1995 10% Owner | 3/A | Series C-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | LABRUM RONALD K Director | 3/A | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3/A | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | CHAWLA SAM Director | 3/A | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | Ashton Ryan Director, Officer (Chief Executive Officer) | 3/A | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | ALDOUS STEPHEN C Director | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · By SSA Ventures, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | ALDOUS STEPHEN C Director | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · By SSA Ventures, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-17 holding as of filing | ALDOUS STEPHEN C Director | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · By SSA Ventures, LLC | Holding | no price filed | 2014-10-17 | ||
| 2014-10-15 | Hitachi Chemical Co Ltd 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −700,000 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | SSA Ventures, LLC 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −181,284 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | SSA Ventures, LLC 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −91,240 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | SSA Ventures, LLC 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −120,508 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −101,653 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −27,407 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −5,662 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −28,597 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −63,047 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −186,014 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −42,182 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series C-1 Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −420,135 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −180,000 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series D Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −20,622 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Spafford David Director | 4 | Series A Convertible Preferred Stock Warrants Derivative · Direct · (m) | C Conversion of derivative security | −11,158 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | SBS Charitable Remainder Trust U/A/D November 27, 1995 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −27,407 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | SBS Charitable Remainder Trust U/A/D November 27, 1995 10% Owner | 4 | Series C-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −420,135 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Rona Jeffrey A Officer (Chief Financial Officer) | 4 | Series D Preferred Stock Warrants Derivative · Indirect · By Rona Capital, LLC | C Conversion of derivative security | −9,117 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Rona Jeffrey A Officer (Chief Financial Officer) | 4 | Series D Preferred Stock Warrants Derivative · Indirect · By Rona Capital, LLC | C Conversion of derivative security | −26,883 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | LABRUM RONALD K Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −80,000 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Krispen Family Holdings, L.C. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −177,524 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Krispen Family Holdings, L.C. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −91,135 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Krispen Family Holdings, L.C. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −120,966 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Krispen Family Holdings, L.C. 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −120,000 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | CHAWLA SAM Director | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | Ashton Ryan Director, Officer (Chief Executive Officer) | 4 | Series D Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −41,350 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | ALDOUS STEPHEN C Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By SSA Ventures, LLC | C Conversion of derivative security | −181,284 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | ALDOUS STEPHEN C Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By SSA Ventures, LLC | C Conversion of derivative security | −91,240 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-15 | ALDOUS STEPHEN C Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · By SSA Ventures, LLC | C Conversion of derivative security | −120,508 0 owned after | $0.00 | 2014-10-17 | |
| 2014-10-10 holding as of filing | Hitachi Chemical Co Ltd 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-10-10 | ||
| 2014-10-08 holding as of filing | SSA Ventures, LLC 10% Owner | 3 | Series A Preferred Stock Non-derivative · Direct | Holding | 181,284 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | SSA Ventures, LLC 10% Owner | 3 | Series B Preferred Stock Non-derivative · Direct | Holding | 91,240 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | SSA Ventures, LLC 10% Owner | 3 | Series C Preferred Stock Non-derivative · Direct | Holding | 120,508 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series A Preferred Stock Non-derivative · Indirect · (m) | Holding | 101,653 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series A Preferred Stock Non-derivative · Indirect · (m) | Holding | 27,407 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series A Preferred Stock Non-derivative · Indirect · (m) | Holding | 5,662 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series B Preferred Stock Non-derivative · Indirect · (m) | Holding | 28,597 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series B Preferred Stock Non-derivative · Indirect · (m) | Holding | 63,047 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series C Preferred Stock Non-derivative · Indirect · (m) | Holding | 186,014 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series C Preferred Stock Non-derivative · Indirect · (m) | Holding | 42,182 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series C-1 Preferred Stock Non-derivative · Indirect · (m) | Holding | 420,135 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series D Preferred Stock Non-derivative · Indirect · (m) | Holding | 180,000 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series D Preferred Stock Non-derivative · Indirect · (m) | Holding | 20,622 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Spafford David Director | 3 | Series A Preferred Stock Warrants Derivative · Direct · (m) | Holding | $3.20 exercise price | 2014-10-08 | ||
| 2014-10-08 holding as of filing | SBS Charitable Remainder Trust U/A/D November 27, 1995 10% Owner | 3 | Series A Preferred Stock Non-derivative · Direct | Holding | 27,407 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | SBS Charitable Remainder Trust U/A/D November 27, 1995 10% Owner | 3 | Series C-1 Preferred Stock Non-derivative · Direct | Holding | 420,135 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Rona Jeffrey A Officer (Chief Financial Officer) | 3 | Series D Preferred Stock Warrants Derivative · Indirect · By Rona Capital, LLC | Holding | $5.00 exercise price | 2014-10-08 | ||
| 2014-10-08 holding as of filing | Rona Jeffrey A Officer (Chief Financial Officer) | 3 | Series D Preferred Stock Warrants Derivative · Indirect · By Rona Capital, LLC | Holding | $5.00 exercise price | 2014-10-08 | ||
| 2014-10-08 holding as of filing | LABRUM RONALD K Director | 3 | Series D Preferred Stock Non-derivative · Direct | Holding | 80,000 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3 | Series A Preferred Stock Non-derivative · Direct | Holding | 177,524 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3 | Series B Preferred Stock Non-derivative · Direct | Holding | 91,135 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3 | Series C Preferred Stock Non-derivative · Direct | Holding | 120,966 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Krispen Family Holdings, L.C. 10% Owner | 3 | Series D Preferred Stock Non-derivative · Direct | Holding | 120,000 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | CHAWLA SAM Director | 3 | Series D Preferred Stock Non-derivative · Direct | Holding | 5,000 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | Ashton Ryan Director, Officer (Chief Executive Officer) | 3 | Series D Preferred Stock Non-derivative · Direct | Holding | 41,350 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | ALDOUS STEPHEN C Director | 3 | Series A Preferred Stock Non-derivative · Indirect · By SSA Ventures, LLC | Holding | 181,284 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | ALDOUS STEPHEN C Director | 3 | Series B Preferred Stock Non-derivative · Indirect · By SSA Ventures, LLC | Holding | 91,240 owned after | no price filed | 2014-10-08 | |
| 2014-10-08 holding as of filing | ALDOUS STEPHEN C Director | 3 | Series C Preferred Stock Non-derivative · Indirect · By SSA Ventures, LLC | Holding | 120,508 owned after | no price filed | 2014-10-08 |