Pareteum Corp Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-07-21: Reporting owner DEJAGER JOHAN LEON WILLY GASTON; Form 5; Security Warrants; Transaction Holding.
- 2011-07-21: Reporting owner DEJAGER JOHAN LEON WILLY GASTON; Form 5; Security Warrants; Transaction Holding.
- 2011-04-21: Reporting owner Hickman Philip; Form 5; Security Warrant; Transaction Holding.
- 2011-04-01: Reporting owner DEJAGER JOHAN LEON WILLY GASTON; Form 5; Security Class A Warrants; Transaction H Expiration (or cancellation) of long derivative position with value received.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-07-21 holding as of filing | DEJAGER JOHAN LEON WILLY GASTON Director | 5 | Warrants Derivative · Indirect · See Footnote | Holding | 839,902 owned after | no price filed | 2011-07-21 | |
| 2011-07-21 holding as of filing | DEJAGER JOHAN LEON WILLY GASTON Director | 5 | Warrants Derivative · Indirect · See Footnote | Holding | 1,017,501 owned after | no price filed | 2011-07-21 | |
| 2011-04-21 holding as of filing | Hickman Philip Director | 5 | Warrant Derivative · Direct | Holding | 42,373 owned after | $0.63 exercise price | 2011-04-21 | |
| 2011-04-01 | DEJAGER JOHAN LEON WILLY GASTON Director | 5 | Class A Warrants Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | −1,012 0 owned after | $1.25 exercise price | 2012-03-15 | |
| 2011-03-31 | DEJAGER JOHAN LEON WILLY GASTON Director | 5 | Class A Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −398,988 1,012 owned after | $1.25 exercise price | 2012-03-15 | |
| 2011-03-16 | QAT II Investments, SA 10% Owner | 4 | Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −167,400 20,893,082 owned after | $1.25 exercise price | 2011-04-28 |