Pareteum Corp Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-31: Reporting owner VAN SANTE YVES ROGER; Form 5; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2014-10-31: Reporting owner VAN SANTE YVES ROGER; Form 5; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2014-10-31: Reporting owner VAN DER VELDEN STEVEN PAUL KAREL MARIE; Form 5; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2014-10-31: Reporting owner VAN DER VELDEN STEVEN PAUL KAREL MARIE; Form 5; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-10-31 | VAN SANTE YVES ROGER Director | 5 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +381,194 381,194 owned after | $1.26 exercise price | 2015-03-27 | |
| 2014-10-31 | VAN SANTE YVES ROGER Director | 5 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +190,597 190,597 owned after | $1.47 exercise price | 2015-03-27 | |
| 2014-10-31 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (President and CEO), 10% Owner | 5 | Warrant Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +1,416,469 1,416,469 owned after | $1.26 exercise price | 2015-03-27 | |
| 2014-10-31 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (President and CEO), 10% Owner | 5 | Warrant Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +708,234 708,234 owned after | $1.47 exercise price | 2015-03-27 | |
| 2014-10-30 | QAT II Investments, SA 10% Owner | 5 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,082,403 0 owned after | $1.00 exercise price | 2015-03-27 | |
| 2014-10-30 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (President and CEO), 10% Owner | 5 | Warrant Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −400,164 0 owned after | $1.00 exercise price | 2015-03-27 | |
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Rising Water Capital A.G. | Holding | $1.05 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Rising Water Capital A.G. | Holding | $1.26 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Rising Water Capital A.G. | Holding | $1.26 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Rising Water Capital A.G. | Holding | $1.47 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Rising Water Capital A.G. | Holding | $1.47 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Q.A.T. Investments SA | Holding | $1.05 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Q.A.T. Investments SA | Holding | $1.26 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through Q.A.T. Investments SA | Holding | $1.47 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through CMV Invest II CVA | Holding | $1.26 exercise price | 2014-06-09 | ||
| 2014-06-09 holding as of filing | VAN SANTE YVES ROGER Director | 3 | Warrant Derivative · Indirect · Through CMV Invest II CVA | Holding | $1.47 exercise price | 2014-06-09 | ||
| 2014-03-17 | QAT II Investments, SA 10% Owner | 5 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,082,403 0 owned after | $1.00 exercise price | 2015-03-27 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 5 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,082,403 1,082,403 owned after | $0.87 exercise price | 2015-03-27 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (President and CEO), 10% Owner | 5 | Warrant Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −400,164 0 owned after | $1.00 exercise price | 2015-03-27 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (President and CEO), 10% Owner | 5 | Warrant Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +400,164 400,164 owned after | $0.87 exercise price | 2015-03-27 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −1,478,800 0 owned after | $1.00 exercise price | 2014-03-19 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | +1,478,800 1,478,800 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −492,582 0 owned after | $1.00 exercise price | 2014-03-19 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | +492,582 492,582 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −1,478,800 0 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −492,582 0 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | DEJAGER JOHAN LEON WILLY GASTON Director | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −217,200 0 owned after | $1.00 exercise price | 2014-03-19 | |
| 2014-03-17 | DEJAGER JOHAN LEON WILLY GASTON Director | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | +217,200 217,200 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | DEJAGER JOHAN LEON WILLY GASTON Director | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −72,348 0 owned after | $1.00 exercise price | 2014-03-19 | |
| 2014-03-17 | DEJAGER JOHAN LEON WILLY GASTON Director | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | +72,348 72,348 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | DEJAGER JOHAN LEON WILLY GASTON Director | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −217,200 0 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | DEJAGER JOHAN LEON WILLY GASTON Director | 4 | Warrant Derivative · Indirect · By QAT II, see footnote | J Other acquisition or disposition (describe transaction) | −72,348 0 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −4,000,000 0 owned after | $1.00 exercise price | 2014-03-19 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,000,000 4,000,000 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,332,383 0 owned after | $1.00 exercise price | 2014-03-19 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,332,383 1,332,383 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −4,000,000 0 owned after | $0.70 exercise price | 2014-03-19 | |
| 2014-03-17 | QAT II Investments, SA 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,332,383 0 owned after | $0.70 exercise price | 2014-03-19 |