QUOTIENT LIMITED Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 64 rows, 64 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-02-27: Reporting owner HIGHBRIDGE CAPITAL MANAGEMENT LLC; Form 3; Security Warrants (Right to Buy); Transaction Holding.
- 2018-07-30: Reporting owner OCONNOR SARAH A; Form 4; Security Warrant; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-07-27: Reporting owner Stackawitz Jeremy; Form 4; Security Warrant; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-07-23: Reporting owner WILKERSON L JOHN; Form 4; Security Warrant (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-02-27 holding as of filing | HIGHBRIDGE CAPITAL MANAGEMENT LLC 10% Owner | 3 | Warrants (Right to Buy) Derivative · Indirect · See footnotes | Holding | no price filed | 2023-02-27 | ||
| 2018-07-30 | OCONNOR SARAH A Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,099 0 owned after | $5.80 exercise price | 2018-08-01 | |
| 2018-07-27 | Stackawitz Jeremy Officer (President) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,099 0 owned after | $5.80 exercise price | 2018-07-30 | |
| 2018-07-23 | WILKERSON L JOHN Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −419,728 0 owned after | $5.80 exercise price | 2018-07-25 | |
| 2018-07-23 | SHROFF ZUBEEN Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −419,728 0 owned after | $5.80 exercise price | 2018-07-25 | |
| 2018-07-23 | Galen Management, LLC | Galen Partners V LP | Galen Partners International V LP | Galen Partners V, L.L.C. 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −419,728 0 owned after | $5.80 exercise price | 2018-07-25 | |
| 2018-07-20 | BOLOGNA THOMAS A Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,099 0 owned after | $5.80 exercise price | 2018-07-23 | |
| 2018-07-18 | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | PERCEPTIVE ADVISORS LLC | EDELMAN JOSEPH 10% Owner | 10% Owner | 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −2,306,034 0 owned after | $5.80 exercise price | 2018-07-20 | |
| 2018-07-18 | LINDOP CHRISTOPHER J Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,465 0 owned after | $5.80 exercise price | 2018-07-19 | |
| 2018-07-18 | von Prondzynski Heino Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,049 0 owned after | $5.80 exercise price | 2018-07-19 | |
| 2018-07-11 | Hallsworth Frederick Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,247 0 owned after | $5.80 exercise price | 2018-07-12 | |
| 2018-07-10 | McDonough Brian Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,493 0 owned after | $5.80 exercise price | 2018-07-11 | |
| 2018-07-05 holding as of filing | von Prondzynski Heino Director | 4 | Warrant Derivative · Direct | Holding | 1,049 owned after | $5.80 exercise price | 2018-07-05 | |
| 2018-06-01 holding as of filing | LINDOP CHRISTOPHER J Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | Holding | 52,465 owned after | $5.80 exercise price | 2018-06-01 | |
| 2018-06-01 holding as of filing | Stackawitz Jeremy Officer (President) | 4 | Warrant Derivative · Direct | Holding | 2,099 owned after | $5.80 exercise price | 2018-06-01 | |
| 2018-04-05 holding as of filing | von Prondzynski Heino Director | 4 | Warrant Derivative · Direct | Holding | 1,049 owned after | $5.80 exercise price | 2018-04-05 | |
| 2018-02-22 holding as of filing | von Prondzynski Heino Director | 4 | Warrant Derivative · Direct | Holding | 1,049 owned after | $5.80 exercise price | 2018-02-22 | |
| 2018-02-13 holding as of filing | LINDOP CHRISTOPHER J Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | Holding | 52,465 owned after | $5.80 exercise price | 2018-02-13 | |
| 2018-02-12 holding as of filing | McDonough Brian Director | 4 | Warrant Derivative · Direct | Holding | 10,493 owned after | $5.80 exercise price | 2018-02-12 | |
| 2017-11-02 holding as of filing | OCONNOR SARAH A Director | 4 | Warrant Derivative · Direct | Holding | 2,099 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-11-02 holding as of filing | Hallsworth Frederick Director | 4 | Warrant Derivative · Direct | Holding | 5,247 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-11-02 holding as of filing | von Prondzynski Heino Director | 4 | Warrant Derivative · Direct | Holding | 1,049 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-11-02 holding as of filing | WILKERSON L JOHN Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 419,728 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-11-02 holding as of filing | BOLOGNA THOMAS A Director | 4 | Warrant Derivative · Direct | Holding | 2,099 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-11-02 holding as of filing | McDonough Brian Director | 4 | Warrant Derivative · Direct | Holding | 10,493 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-11-02 holding as of filing | SHROFF ZUBEEN Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 419,728 owned after | $5.80 exercise price | 2017-11-02 | |
| 2017-10-30 | COWAN D J PAUL E Director, Officer (See Remarks) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,479 31,479 owned after | $0.13 | 2017-11-01 | |
| 2017-10-27 | McDonough Brian Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,493 10,493 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | BOLOGNA THOMAS A Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,099 2,099 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | Hallsworth Frederick Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,247 5,247 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | von Prondzynski Heino Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,049 1,049 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | LINDOP CHRISTOPHER J Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +52,465 52,465 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | OCONNOR SARAH A Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,099 2,099 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | Stackawitz Jeremy Officer (President) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,099 2,099 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | WILKERSON L JOHN Director, 10% Owner | 4 | Warrants to purchase Ordinary Shares Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +419,728 419,728 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | SHROFF ZUBEEN Director, 10% Owner | 4 | Warrants to purchase Ordinary Shares Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +419,728 419,728 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 | Galen Partners International V LP | Galen Partners V, L.L.C. | Galen Management, LLC | Galen Partners V LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Warrants to purchase Ordinary Shares Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +419,728 419,728 owned after | $0.13 | 2017-10-30 | |
| 2017-10-26 holding as of filing | PERCEPTIVE ADVISORS LLC | PERCEPTIVE LIFE SCIENCES MASTER FUND LTD | EDELMAN JOSEPH 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · See footnote | Holding | $5.80 exercise price | 2017-10-26 | ||
| 2015-10-02 | Hallsworth Frederick Director | 4 | Ordinary Share Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −6,250 0 owned after | $0.00 | 2015-10-02 | |
| 2015-09-29 | Unger Stephen Officer (Chief Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,000 0 owned after | $8.80 exercise price | 2015-09-30 | |
| 2015-09-18 | WILKERSON L JOHN Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −312,500 0 owned after | $8.80 exercise price | 2015-09-22 | |
| 2015-09-18 | SHROFF ZUBEEN Director, 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −312,500 0 owned after | $8.80 exercise price | 2015-09-22 | |
| 2015-09-18 | Galen Partners V, L.L.C. | Galen Management, LLC | Galen Partners V LP | Galen Partners International V LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (Right to Buy) Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −312,500 0 owned after | $8.80 exercise price | 2015-09-22 | |
| 2015-05-22 holding as of filing | Unger Stephen Officer (Chief Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | Holding | 5,000 owned after | $8.80 exercise price | 2015-05-22 | |
| 2015-03-16 holding as of filing | Unger Stephen Officer (Cheif Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | Holding | 5,000 owned after | $8.80 exercise price | 2015-03-16 | |
| 2014-12-02 holding as of filing | WILKERSON L JOHN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 287,914 owned after | no price filed | 2014-12-02 | |
| 2014-12-02 holding as of filing | WILKERSON L JOHN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 24,586 owned after | no price filed | 2014-12-02 | |
| 2014-12-02 holding as of filing | SHROFF ZUBEEN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 287,914 owned after | no price filed | 2014-12-02 | |
| 2014-12-02 holding as of filing | SHROFF ZUBEEN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 24,586 owned after | no price filed | 2014-12-02 | |
| 2014-11-04 holding as of filing | SHROFF ZUBEEN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 287,914 owned after | no price filed | 2014-11-04 | |
| 2014-11-04 holding as of filing | SHROFF ZUBEEN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 24,586 owned after | no price filed | 2014-11-04 | |
| 2014-11-04 holding as of filing | Hallsworth Frederick Director | 4 | Ordinary Share Warrants Derivative · Direct | Holding | 6,250 owned after | no price filed | 2014-11-04 | |
| 2014-11-04 holding as of filing | WILKERSON L JOHN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 287,914 owned after | no price filed | 2014-11-04 | |
| 2014-11-04 holding as of filing | WILKERSON L JOHN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | Holding | 24,586 owned after | no price filed | 2014-11-04 | |
| 2014-08-08 holding as of filing | Unger Stephen Officer (Chief Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | Holding | 5,000 owned after | $8.80 exercise price | 2014-08-08 | |
| 2014-05-23 | Unger Stephen Officer (Chief Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 5,000 owned after | $8.80 exercise price | 2014-05-27 | |
| 2014-05-22 | Unger Stephen Officer (Chief Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,800 3,800 owned after | $8.80 exercise price | 2014-05-27 | |
| 2014-05-22 | Unger Stephen Officer (Chief Financial Officer) | 4 | Ordinary Share Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200 4,000 owned after | $8.80 exercise price | 2014-05-27 | |
| 2014-04-30 | Galen Partners V, L.L.C. | Galen Partners International V LP | Galen Management, LLC | Galen Partners V LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Ordinary Shares (right to buy) Derivative · Indirect · See FN | P Open market or private purchase of non-derivative or derivative security | +312,500 312,500 owned after | $8.80 exercise price | 2014-05-01 | |
| 2014-04-30 | Hallsworth Frederick Director | 4 | Ordinary Share Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +6,250 6,250 owned after | $8.00 | 2014-05-01 | |
| 2014-04-30 | SHROFF ZUBEEN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +287,914 287,914 owned after | $8.00 | 2014-05-01 | |
| 2014-04-30 | SHROFF ZUBEEN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +24,586 24,586 owned after | $8.00 | 2014-05-01 | |
| 2014-04-30 | WILKERSON L JOHN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +287,914 287,914 owned after | $8.00 | 2014-05-01 | |
| 2014-04-30 | WILKERSON L JOHN Director, 10% Owner | 4 | Ordinary Share Warrants Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +24,586 24,586 owned after | $8.00 | 2014-05-01 |