HARRISON VICKERS & WATERMAN INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-05-04: Reporting owner Attitude Drinks Inc.; Form 3; Security Series B Convertible Preferred Stock; Transaction Holding.
- 2015-05-04: Reporting owner WARREN ROY G; Form 3; Security Series B Convertible Preferred Stock; Transaction Holding.
- 2015-04-21: Reporting owner HVW HOLDINGS LLC; Form 4; Security Series A Preferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2015-04-21: Reporting owner GIORDANO JAMES RICHARD; Form 4; Security Series A Preferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-05-04 holding as of filing | Attitude Drinks Inc. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-05-04 | ||
| 2015-05-04 holding as of filing | WARREN ROY G Director, Officer (Chairman, CEO and President), 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2015-05-04 | ||
| 2015-04-21 | HVW HOLDINGS LLC Other (Previous 10% Owner) | 4 | Series A Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −32,300 0 owned after | no price filed | 2015-05-14 | |
| 2015-04-21 | GIORDANO JAMES RICHARD Other (Previous Director and Officer) | 4 | Series A Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −32,300 0 owned after | no price filed | 2015-05-14 | |
| 2014-08-25 holding as of filing | GIORDANO JAMES RICHARD Director, Officer (Chief Executive Officer), 10% Owner | 3 | Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-08-25 | ||
| 2014-08-25 holding as of filing | HVW HOLDINGS LLC 10% Owner | 3 | Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-08-25 |