PRESSURE BIOSCIENCES, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-10-06: Reporting owner PAYNE J DONALD; Form 4/A; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-10-06: Reporting owner PAYNE J DONALD; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-09-30: Reporting owner ROSENSON ALAN D; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-09-30: Reporting owner Lazarev Alexander V; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-10-06 | PAYNE J DONALD Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,623 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-10-06 | PAYNE J DONALD Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,623 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-09-30 | ROSENSON ALAN D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,785 0 owned after | $12.50 | 2011-10-07 | |
| 2011-09-30 | Lazarev Alexander V Officer (VP OF RandD) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −561 6,280 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-09-30 | Ting Edmund Y Officer (SENIOR VP OF ENGINEERING) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −682 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-09-30 | Lawrence Nathan Officer (VP OF MARKETING) | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −673 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-09-30 | FRITZSCHE R WAYNE Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −29,093 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-09-30 | Freitag Gregory Gene Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,664 0 owned after | $1.88 exercise price | 2011-10-07 | |
| 2011-09-30 | Freitag Gregory Gene Director | 4 | Series B Preferred Stock Purchase Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,640 0 owned after | $2.38 exercise price | 2011-10-07 | |
| 2011-09-30 | Freitag Gregory Gene Director | 4 | Series B Preferred Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,640 26,640 owned after | $1.43 exercise price | 2011-10-07 | |
| 2011-09-30 | GOLDBERG ALAN IRA Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,696 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-09-30 | SCHUMACHER RICHARD T Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,390 0 owned after | $1.15 exercise price | 2011-10-07 | |
| 2011-04-11 | SCHUMACHER RICHARD T Director, Officer (CEO and President), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,669 5,018 owned after | $1.50 exercise price | 2011-04-12 | |
| 2011-04-08 | SCHUMACHER RICHARD T Director, Officer (CEO and President), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,349 1,349 owned after | $1.50 exercise price | 2011-04-12 |