NextPlay Technologies, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 52 rows, 52 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-03-05: Reporting owner Monaco Donald P | Donald P. Monaco Insurance Trust | Monaco Investment Partners II, LP; Form 4; Security Common Stock Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-03-01: Reporting owner PACIFIC GROVE CAPITAL LLC | MENDOLA ROBERT JAMES JR | Pacific Grove Capital LP | PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE MASTER FUND LP; Form 4; Security Warrants; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-02-28: Reporting owner PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE MASTER FUND LP | PACIFIC GROVE CAPITAL LLC | Pacific Grove Capital LP | MENDOLA ROBERT JAMES JR; Form 4; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2018-02-22: Reporting owner Post Robert John; Form 4; Security Common Stock Purchase Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-03-05 | Monaco Donald P | Donald P. Monaco Insurance Trust | Monaco Investment Partners II, LP Director, 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +35,750 0 owned after | $2.85 exercise price | 2019-03-20 | |
| 2018-03-01 | PACIFIC GROVE CAPITAL LLC | MENDOLA ROBERT JAMES JR | Pacific Grove Capital LP | PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE MASTER FUND LP Other (GP of the Adviser) | Other | Other (Adviser of 10% Owner) | Other (Control person of PGC,LLC,GP) | 10% Owner | 4 | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | X Exercise of in-the-money or at-the-money derivative security | +147,000 0 owned after | $2.63 exercise price | 2018-03-05 | |
| 2018-02-28 | PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE MASTER FUND LP | PACIFIC GROVE CAPITAL LLC | Pacific Grove Capital LP | MENDOLA ROBERT JAMES JR Other (Control person of PGC, LLC, GP) | 10% Owner | Other (GP Of the Advisor) | Other (Advisor of 10% Owner) | Other | 4 | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | J Other acquisition or disposition (describe transaction) | +73,500 147,000 owned after | $5.13 exercise price | 2018-03-01 | |
| 2018-02-22 | Post Robert John Director | 4 | Common Stock Purchase Warrant Derivative · Indirect · Through the Robert Post 2007 Revocable Trust | J Other acquisition or disposition (describe transaction) | +3,650 8,650 owned after | $5.09 exercise price | 2018-04-27 | |
| 2018-02-22 | LaVecchia Pat Director | 4 | Common Stock Purchase Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,460 3,460 owned after | $5.09 exercise price | 2018-04-27 | |
| 2018-02-22 | KERBY WILLIAM Director, Officer (Chief Executive Officer) | 4 | Common Stock Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +5,100 15,300 owned after | $5.09 exercise price | 2018-04-27 | |
| 2018-02-22 | Monaco Investment Partners II, LP | Monaco Donald P | Donald P. Monaco Insurance Trust 10% Owner | Director, 10% Owner | 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | J Other acquisition or disposition (describe transaction) | +17,850 35,750 owned after | $5.09 exercise price | 2018-04-27 | |
| 2018-01-31 | Pacific Grove Capital LP | MENDOLA ROBERT JAMES JR | PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE CAPITAL LLC | PACIFIC GROVE MASTER FUND LP Other (Advisor of 10% owner) | Other | Other (Control person of PGC,LLC,GP) | Other (GP of the Adviser) | 10% Owner | 4/A | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | J Other acquisition or disposition (describe transaction) | +183,750 183,750 owned after | $2.05 exercise price | 2018-02-08 | |
| 2018-01-31 | Pacific Grove Capital LP | PACIFIC GROVE CAPITAL LLC | PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE MASTER FUND LP | MENDOLA ROBERT JAMES JR Other (Advisor of 10% owner) | Other (GP of the Adviser) | Other (GP of the Master Fund) | 10% Owner | Other | 4 | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | X Exercise of in-the-money or at-the-money derivative security | +192,500 192,500 owned after | $2.05 exercise price | 2018-01-31 | |
| 2018-01-26 holding as of filing | PACIFIC GROVE MASTER FUND LP | PACIFIC GROVE CAPITAL LLC | PACIFIC GROVE CAPITAL GP LLC | Pacific Grove Capital LP | MENDOLA ROBERT JAMES JR 10% Owner | Other (GP of Adviser of 10% Owner) | Other (GP of 10% Owner) | Other (Adviser of 10% Owner) | Other | 3/A | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | Holding | $1.05 exercise price | 2018-01-26 | ||
| 2018-01-26 holding as of filing | PACIFIC GROVE MASTER FUND LP | PACIFIC GROVE CAPITAL LLC | Pacific Grove Capital LP | PACIFIC GROVE CAPITAL GP LLC | MENDOLA ROBERT JAMES JR 10% Owner | Other (GP of Adviser of 10% Owner) | Other (Adviser of 10% Owner) | Other (GP of 10% Owner) | Other | 3 | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | Holding | $1.05 exercise price | 2018-01-26 | ||
| 2018-01-15 | Monaco Donald P | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust Director, 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock Warrants Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | J Other acquisition or disposition (describe transaction) | +19,250 44,750 owned after | $2.10 | 2018-04-27 | |
| 2018-01-15 | KERBY WILLIAM Director, Officer (Chief Executive Officer) | 4/A | Common Stock Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +5,500 25,500 owned after | $2.10 | 2018-04-27 | |
| 2018-01-15 | Donald P. Monaco Insurance Trust | Monaco Investment Partners II, LP | Monaco Donald P 10% Owner | 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | J Other acquisition or disposition (describe transaction) | +19,250 44,750 owned after | $2.10 | 2018-01-16 | |
| 2018-01-15 | KERBY WILLIAM Director, Officer (Chief Executive Officer) | 4 | Common Stock Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +5,500 25,500 owned after | $2.10 | 2018-01-16 | |
| 2018-01-15 | Orange Simon Director | 4 | Common Stock Warrants Derivative · Indirect · Through Charcoal Investment Ltd. | X Exercise of in-the-money or at-the-money derivative security | −100,000 38,000 owned after | $2.00 | 2018-01-16 | |
| 2018-01-15 | Orange Simon Director | 4 | Common Stock Warrants Derivative · Indirect · Through Charcoal Investment Ltd. | J Other acquisition or disposition (describe transaction) | +19,250 106,250 owned after | $2.10 | 2018-01-16 | |
| 2018-01-12 | Monaco Donald P | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust Director, 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock Warrants Derivative · Indirect · Through Monaco Investment Partners II, LP | X Exercise of in-the-money or at-the-money derivative security | −47,500 0 owned after | $2.00 | 2018-04-27 | |
| 2018-01-12 | Monaco Donald P | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust Director, 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock Warrants Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | X Exercise of in-the-money or at-the-money derivative security | −62,000 25,500 owned after | $2.10 | 2018-04-27 | |
| 2018-01-12 | KERBY WILLIAM Director, Officer (Chief Executive Officer) | 4/A | Common Stock Purchase Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,000 20,000 owned after | $2.10 | 2018-04-27 | |
| 2018-01-12 | Donald P. Monaco Insurance Trust | Monaco Investment Partners II, LP | Monaco Donald P 10% Owner | 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · Through Monaco Investment Partners II, LP | X Exercise of in-the-money or at-the-money derivative security | −47,500 0 owned after | $2.00 | 2018-01-16 | |
| 2018-01-12 | Donald P. Monaco Insurance Trust | Monaco Investment Partners II, LP | Monaco Donald P 10% Owner | 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | X Exercise of in-the-money or at-the-money derivative security | −62,000 25,500 owned after | $2.10 | 2018-01-16 | |
| 2018-01-12 | KERBY WILLIAM Director, Officer (Chief Executive Officer) | 4 | Common Stock Purchase Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,000 20,000 owned after | $2.10 | 2018-01-16 | |
| 2018-01-10 | Pacific Grove Capital LP | PACIFIC GROVE MASTER FUND LP | MENDOLA ROBERT JAMES JR | PACIFIC GROVE CAPITAL GP LLC | PACIFIC GROVE CAPITAL LLC Other (Adviser of 10% Owner) | 10% Owner | Other | Other (Control person of PGC,LLC,GP) | Other (GP of the Adviser) | 4/A | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | X Exercise of in-the-money or at-the-money derivative security | −271,250 0 owned after | $1.05 exercise price | 2018-02-08 | |
| 2018-01-10 | PACIFIC GROVE CAPITAL GP LLC | MENDOLA ROBERT JAMES JR | PACIFIC GROVE CAPITAL LLC | Pacific Grove Capital LP | PACIFIC GROVE MASTER FUND LP Other (GP of 10% Owner) | Other | Other (GP of Adviser of 10% Owner) | Other (Adviser of 10% Owner) | 10% Owner | 4 | Warrants Derivative · Indirect · Pacific Grove Master Fund LP | X Exercise of in-the-money or at-the-money derivative security | −271,250 0 owned after | $1.05 exercise price | 2018-01-26 | |
| 2017-12-12 | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust | Monaco Donald P Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · Through Monaco Investment Partners II, LP | X Exercise of in-the-money or at-the-money derivative security | −52,500 47,500 owned after | $2.00 | 2017-12-29 | |
| 2017-08-11 | Orange Simon Director | 4 | Common Stock Purchase Warrant Derivative · Indirect · Through Charcoal Investment Ltd. | P Open market or private purchase of non-derivative or derivative security | +87,500 87,500 owned after | $2.10 exercise price | 2017-08-18 | |
| 2017-08-11 | LaVecchia Pat Director | 4 | Common Stock Purchase Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $2.10 exercise price | 2017-08-16 | |
| 2017-08-11 | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust | Monaco Donald P Other (Managing General) | Other (Trustee) | Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · Through the Donald P. Monaco Insurance Trust | P Open market or private purchase of non-derivative or derivative security | +87,500 87,500 owned after | $2.10 exercise price | 2017-08-15 | |
| 2017-08-11 | Post Robert John Director | 4 | Common Stock Purchase Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +12,500 12,500 owned after | $2.10 exercise price | 2017-08-14 | |
| 2017-08-11 | KERBY WILLIAM Director, Officer (Chief Executive Officer) | 4 | Common Stock Purchase Warrant Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +25,000 25,000 owned after | $2.10 exercise price | 2017-08-14 | |
| 2017-03-09 | Post Robert John Director | 4 | Common Stock Warrants Derivative · Indirect · Through the Robert Post 2007 Revocable Trust | J Other acquisition or disposition (describe transaction) | +50,000 50,000 owned after | $2.00 exercise price | 2017-03-16 | |
| 2017-02-28 | Monaco Donald P | Donald P. Monaco Insurance Trust | Monaco Investment Partners II, LP Director, 10% Owner | Other (Trustee) | Other (Managing General Partner) | 4 | Common Stock Warrants Derivative · Indirect · See footenote | J Other acquisition or disposition (describe transaction) | +100,000 100,000 owned after | $2.00 exercise price | 2017-03-09 | |
| 2017-02-01 holding as of filing | Orange Simon Director | 3 | Warrants to Purchase Common Stock Derivative · Direct · (m) | Holding | $2.00 exercise price | 2017-02-01 | ||
| 2017-02-01 holding as of filing | Orange Simon Director | 3 | Warrants to Purchase Common Stock Derivative · Indirect · (m) | Holding | $2.00 exercise price | 2017-02-01 | ||
| 2017-02-01 | Orange Simon Director | 4 | Common Stock Warrants Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −138,000 138,000 owned after | $2.00 | 2017-02-01 | |
| 2017-01-31 | Orange Simon Director | 4 | Common Stock Warrants Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −20,000 20,000 owned after | $2.00 | 2017-02-01 | |
| 2017-01-26 | Orange Simon Director | 4 | Common Stock Warrants Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +20,000 40,000 owned after | $2.00 exercise price | 2017-02-01 | |
| 2017-01-26 | Orange Simon Director | 4 | Common Stock Warrants Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +138,000 276,000 owned after | $2.00 exercise price | 2017-02-01 | |
| 2016-10-26 | Monaco Donald P | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust Director, 10% Owner | Other (Managing General Partner) | Other (Trustee) | 4 | Common Stock Warrants Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −40,000 240,000 owned after | $1.50 | 2016-11-03 | |
| 2016-10-26 | Monaco Donald P | Monaco Investment Partners II, LP | Donald P. Monaco Insurance Trust Director, 10% Owner | Other (Managing General Partner) | Other (Trustee) | 4 | Common Stock Warrants Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −240,000 0 owned after | $1.50 | 2016-11-03 | |
| 2016-05-31 | Monaco Donald P Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −60,000 280,000 owned after | $1.50 | 2016-06-01 | |
| 2016-04-27 | Monaco Donald P Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −100,000 340,000 owned after | $1.50 | 2016-05-03 | |
| 2016-04-27 | Monaco Donald P Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −100,000 340,000 owned after | $1.50 | 2016-05-03 | |
| 2016-03-17 | Wilton Mark A 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +48,000 30,000 owned after | $0.25 exercise price | 2016-11-15 | |
| 2016-01-25 | Monaco Donald P Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +240,000 240,000 owned after | $1.50 exercise price | 2016-01-29 | |
| 2015-11-25 | Monaco Donald P Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $1.50 exercise price | 2015-12-01 | |
| 2015-11-10 | Wilton Mark A 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +20,000 20,000 owned after | $2.50 exercise price | 2016-11-15 | |
| 2015-11-03 | Monaco Donald P Director | 4 | Common Stock Warrants Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +100,000 200,000 owned after | $1.50 exercise price | 2015-11-09 | |
| 2015-10-07 | Monaco Donald P Director | 4 | Common Stock Warrants Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $1.50 exercise price | 2015-10-13 | |
| 2015-05-15 | Wilton Mark A 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +30,000 30,000 owned after | $0.50 exercise price | 2016-11-15 | |
| 2014-06-20 holding as of filing | Monaco Donald P Director | 3 | Warrants Derivative · Direct | Holding | $0.05 exercise price | 2014-06-20 |