NewAge, 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.
- 2018-10-23: Reporting owner Fallon Neil; Form 4; Security Series C Convertible Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-10-23: Reporting owner Willis Brent D; Form 4; Security Series C Preferred Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-09-21: Reporting owner Willis Brent D; Form 4; Security Series C Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-09-21: Reporting owner Fallon Neil; Form 4; Security Series C Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-10-23 | Fallon Neil Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,127 0 owned after | no price filed | 2018-10-25 | |
| 2018-10-23 | Willis Brent D Director, Officer (Chief Executive Officer) | 4 | Series C Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,773 0 owned after | no price filed | 2018-10-25 | |
| 2018-09-21 | Willis Brent D Director, Officer (Chief Executive Officer) | 4 | Series C Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,773 1,773,000 owned after | no price filed | 2018-09-25 | |
| 2018-09-21 | Fallon Neil Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,127 5,127,000 owned after | no price filed | 2018-09-25 | |
| 2014-04-23 holding as of filing | Fallon Neil Director, Officer (President), 10% Owner | 3 | Series A Preferred Stock Non-derivative · Direct | Holding | 225,000 owned after | no price filed | 2014-04-23 | |
| 2014-04-23 holding as of filing | Anderson Julie Director, Officer (Vice President), 10% Owner | 3 | Series A Preferred Stock Non-derivative · Direct | Holding | 25,000 owned after | no price filed | 2014-04-23 |