PLx Pharma Winddown Corp. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-03-16: Reporting owner Hardie Molly G. | Hardie Robert D. | Level One Partners, LLC; Form 3; Security Warrants (right to buy); Transaction Holding.
- 2020-11-18: Reporting owner Valentino Michael J; Form 4; Security Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2018-12-20: Reporting owner Park West Asset Management LLC; Form 4; Security Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-06-19: Reporting owner Park West Asset Management LLC; Form 3; Security Warrants (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-03-16 holding as of filing | Hardie Molly G. | Hardie Robert D. | Level One Partners, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Direct | Holding | $4.31 exercise price | 2021-03-16 | ||
| 2020-11-18 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +291,390 291,390 owned after | $4.31 exercise price | 2020-11-20 | |
| 2018-12-20 | Park West Asset Management LLC 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +500,000 500,000 owned after | $3.50 exercise price | 2018-12-31 | |
| 2017-06-19 holding as of filing | Park West Asset Management LLC 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See Footnotes | Holding | $7.50 exercise price | 2017-06-19 | ||
| 2017-06-14 | JORDEN DAVID EMERSON Officer (Acting Chief Financial Officer), 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +32,727 32,727 owned after | $7.50 exercise price | 2017-06-16 | |
| 2017-06-14 | MOSSMAN GARY L Officer (Chief Operating Officer), 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +7,273 7,273 owned after | $7.50 exercise price | 2017-06-16 | |
| 2017-06-14 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +29,091 29,091 owned after | $7.50 exercise price | 2017-06-16 |