RICEBRAN TECHNOLOGIES Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows, 29 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-18: Reporting owner HALPERN BARUCH; Form 4; Security 10% Secured Convertible Promissory Note Due 2015; Transaction J Other acquisition or disposition (describe transaction).
- 2013-12-18: Reporting owner HALPERN BARUCH; Form 4; Security 10% Secured Convertible Promissory Note Due 2015; Transaction J Other acquisition or disposition (describe transaction).
- 2013-12-18: Reporting owner SHORT W. JOHN; Form 4; Security 10% Secured Convertible Promissory Note Due 2015; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-18: Reporting owner SHORT W. JOHN; Form 4; Security 10% Secured Convertible Promissory Note Due 2015; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-18 | HALPERN BARUCH Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −42,665 42,665 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −610,268 610,268 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30 3,806 owned after | $14.00 exercise price | 2013-12-18 | |
| 2013-12-18 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,806 0 owned after | $14.00 exercise price | 2013-12-18 | |
| 2013-12-18 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | J Other acquisition or disposition (describe transaction) | 0 owned after | $14.00 exercise price | 2013-12-18 | |
| 2013-12-18 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | J Other acquisition or disposition (describe transaction) | 12,777 owned after | $14.00 exercise price | 2013-12-18 | |
| 2013-10-01 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,005 40,804 owned after | $0.07 exercise price | 2013-10-02 | |
| 2013-10-01 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.07 exercise price | 2013-10-02 | ||
| 2013-07-01 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,871 22,799 owned after | $0.07 exercise price | 2013-07-02 | |
| 2013-07-01 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.07 exercise price | 2013-07-02 | ||
| 2013-06-19 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +16,928 16,928 owned after | $0.07 exercise price | 2013-06-21 | |
| 2013-06-19 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.07 exercise price | 2013-06-21 | ||
| 2013-06-19 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.07 exercise price | 2013-06-21 | ||
| 2013-06-19 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.07 exercise price | 2013-06-21 | ||
| 2013-04-09 | SHORT W. JOHN Director, Officer (CEO) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +357,143 357,143 owned after | $0.07 exercise price | 2013-04-17 | |
| 2012-07-31 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −250,000 0 owned after | $0.10 exercise price | 2012-08-06 | |
| 2012-07-31 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +428,571 428,571 owned after | $0.07 exercise price | 2012-08-06 | |
| 2012-07-31 | MCMILLAN EDWARD Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · Edward L. McMillan Revocable Trust | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | 0 owned after | $0.10 exercise price | 2012-08-06 | |
| 2012-07-31 | MCMILLAN EDWARD Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · Edward L. McMillan Revocable Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.07 exercise price | 2012-08-06 | ||
| 2012-07-31 | LINTZENICH JAMES C Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · Zanesville Partners Fund, LLC | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | 0 owned after | $0.10 exercise price | 2012-08-06 | |
| 2012-07-31 | LINTZENICH JAMES C Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · Zanesville Partners Fund, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.07 exercise price | 2012-08-06 | ||
| 2012-07-31 | HALPERN BARUCH Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,428,571 1,428,571 owned after | $0.07 exercise price | 2012-08-06 | |
| 2012-07-31 | HALPERN BARUCH Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −42,857,143 0 owned after | $0.10 | 2012-08-06 | |
| 2012-07-31 | HALPERN BARUCH Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | 42,857,143 owned after | $0.07 exercise price | 2012-08-06 | |
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-01-20 | ||
| 2012-01-18 | LINTZENICH JAMES C Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · Zanesville Partners Fund, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.10 exercise price | 2012-01-20 | |
| 2012-01-18 | MCMILLAN EDWARD Director | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Indirect · Edward L. McMillan Revocable Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.10 exercise price | 2012-01-20 | |
| 2012-01-18 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4 | 10% Secured Convertible Promissory Note Due 2015 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.10 exercise price | 2012-01-20 |