RESPONSE GENETICS INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows, 26 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-06-08: Reporting owner Smith David Michael; Form 4; Security Series A Junior Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2007-06-08: Reporting owner Smith David Michael; Form 4; Security Series A Junior Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2007-06-08: Reporting owner Smith Susan; Form 4; Security Series A Junior Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2007-06-08: Reporting owner Smith Susan; Form 4; Security Series A Junior Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-06-08 | Smith David Michael Director, 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −987,220 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Smith David Michael Director, 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −404,966 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Smith Susan 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −404,966 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Smith Susan 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −987,220 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Clara 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −603,907 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Clara 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −603,907 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Clara 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,840 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Samuel 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −603,907 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Samuel 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −603,907 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Samuel 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,840 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Michael Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −1,840 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Michael Director, 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −603,907 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-08 | Serruya Michael Director, 10% Owner | 4 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −603,907 0 owned after | $0.00 | 2007-06-12 | |
| 2007-06-05 holding as of filing | Serruya Michael Director, 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Michael Director, 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Michael Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Samuel 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Samuel 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Samuel 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Clara 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Clara 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Serruya Clara 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Smith David Michael Director, 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Smith David Michael Director, 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Smith Susan 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2007-06-05 | ||
| 2007-06-05 holding as of filing | Smith Susan 10% Owner | 3 | Series A Junior Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-06-05 |