NEULION, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows, 32 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-03-06: Reporting owner PATERSON SCOTT; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-03-06: Reporting owner PATERSON SCOTT; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-09-12: Reporting owner WANG CHARLES B; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-09-12: Reporting owner WANG CHARLES B; Form 4; Security Warrant (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-03-06 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Indirect · Patstar Inc. | X Exercise of in-the-money or at-the-money derivative security | −187,500 0 owned after | $0.20 | 2015-03-10 | |
| 2015-03-06 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Indirect · Paterson Family Trust | X Exercise of in-the-money or at-the-money derivative security | −151,587 0 owned after | $0.20 | 2015-03-10 | |
| 2014-09-12 | WANG CHARLES B Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,420,800 0 owned after | $0.20 | 2014-09-16 | |
| 2014-09-12 | WANG CHARLES B Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,167,250 0 owned after | $0.20 | 2014-09-16 | |
| 2014-09-10 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −560,000 0 owned after | $0.20 | 2014-09-12 | |
| 2014-06-23 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Indirect · G. Scott Paterson Inc. | X Exercise of in-the-money or at-the-money derivative security | −125,000 0 owned after | $0.20 | 2014-06-25 | |
| 2013-06-12 holding as of filing | WANG CHARLES B Director, 10% Owner | 4/A | Warrant (right to buy) Derivative · Direct | Holding | 1,167,250 owned after | $0.30 exercise price | 2013-06-12 | |
| 2013-06-12 holding as of filing | LI NANCY Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By spouse | Holding | 1,167,250 owned after | $0.30 exercise price | 2013-06-12 | |
| 2013-06-12 holding as of filing | WANG CHARLES B Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | Holding | 1,167,250 owned after | $0.30 exercise price | 2013-06-12 | |
| 2013-06-05 | WANG CHARLES B Director, 10% Owner | 4/A | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,420,800 1,420,800 owned after | $0.20 | 2013-06-12 | |
| 2013-06-05 | LI NANCY Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By spouse | P Open market or private purchase of non-derivative or derivative security | +1,420,800 1,420,800 owned after | $0.20 | 2013-06-12 | |
| 2013-06-05 | WANG CHARLES B Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,420,800 1,420,800 owned after | $0.20 | 2013-06-12 | |
| 2012-09-25 | LI NANCY Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By spouse | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,167,250 1,167,250 owned after | $0.20 | 2012-09-27 | |
| 2012-09-25 | LI NANCY Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By spouse | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,332,750 2,500,000 owned after | $545,628.00 | 2012-09-27 | |
| 2012-09-25 | WANG CHARLES B Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,167,250 1,167,250 owned after | $0.20 | 2012-09-27 | |
| 2012-09-25 | WANG CHARLES B Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,332,750 2,500,000 owned after | $545,628.00 | 2012-09-27 | |
| 2012-09-25 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +560,000 560,000 owned after | $0.20 | 2012-09-27 | |
| 2012-09-25 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +162,500 162,500 owned after | $0.20 | 2012-09-27 | |
| 2012-09-25 | PATERSON SCOTT Director, Officer (Vice Chairman) | 4 | Warrant (right to buy) Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | $0.20 | 2012-09-27 | |
| 2010-10-04 holding as of filing | AvantaLion LLC 10% Owner | 3/A | Series A Warrants (right to buy) Derivative · Direct | Holding | no price filed | 2010-10-04 | ||
| 2010-10-04 holding as of filing | AvantaLion LLC 10% Owner | 3/A | Series B Warrants (right to buy) Derivative · Direct | Holding | no price filed | 2010-10-04 | ||
| 2010-10-01 holding as of filing | AvantaLion LLC 10% Owner | 3 | Series A Warrants (right to buy) Derivative · Direct | Holding | no price filed | 2010-10-01 | ||
| 2010-10-01 holding as of filing | AvantaLion LLC 10% Owner | 3 | Series B Warrants (right to buy) Derivative · Direct | Holding | no price filed | 2010-10-01 | ||
| 2009-06-08 holding as of filing | WANG CHARLES B Director, 10% Owner | 3 | Series A Warrants (right to buy) Derivative · Indirect · By AvantaLion LLC | Holding | no price filed | 2009-06-08 | ||
| 2009-06-08 holding as of filing | WANG CHARLES B Director, 10% Owner | 3 | Series B Warrants (right to buy) Derivative · Indirect · By AvantaLion LLC | Holding | no price filed | 2009-06-08 | ||
| 2009-06-08 holding as of filing | WAGNER J CHRISTOPHER Officer (Executive Vice President) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $0.63 exercise price | 2009-06-08 | ||
| 2009-06-08 holding as of filing | PATERSON SCOTT Director, Officer (Executive Vice Chairman) | 3 | Series A Warrants (right to buy) Derivative · Direct | Holding | no price filed | 2009-06-08 | ||
| 2009-06-08 holding as of filing | PATERSON SCOTT Director, Officer (Executive Vice Chairman) | 3 | Series B Warrants (right to buy) Derivative · Direct | Holding | no price filed | 2009-06-08 | ||
| 2009-06-08 holding as of filing | NUNN RONALD Officer (Executive Vice President) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $0.63 exercise price | 2009-06-08 | ||
| 2009-06-08 holding as of filing | LI NANCY Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Warrants (right to buy) Derivative · Indirect · (m) | Holding | no price filed | 2009-06-08 | ||
| 2009-06-08 holding as of filing | LI NANCY Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series B Warrants (right to buy) Derivative · Indirect · (m) | Holding | no price filed | 2009-06-08 | ||
| 2009-06-08 holding as of filing | HER HORNGWEI Officer (Executive Vice President) | 3 | Warrants (right to buy) Derivative · Direct | Holding | $0.63 exercise price | 2009-06-08 |