RICEBRAN TECHNOLOGIES Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 54 rows, 54 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-06-24: Reporting owner CONTINENTAL GRAIN CO; Form 4; Security Warrant to purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-03-08: Reporting owner CONTINENTAL GRAIN CO; Form 4; Security Warrant to purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-02-09: Reporting owner HALPERN BARUCH; Form 4; Security Common Stock Warrant, right to buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-02-09: Reporting owner HALPERN BARUCH; Form 4; Security Common Stock Warrant, right to buy; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-06-24 | CONTINENTAL GRAIN CO 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,003,344 0 owned after | $0.01 exercise price | 2019-08-20 | |
| 2019-03-08 | CONTINENTAL GRAIN CO 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,003,344 1,003,344 owned after | $2.99 | 2019-03-12 | |
| 2017-02-09 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,489,110 1,489,110 owned after | $0.96 exercise price | 2017-04-27 | |
| 2017-02-09 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,459 56,459 owned after | $0.96 exercise price | 2017-04-27 | |
| 2017-02-09 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +114,775 114,775 owned after | $0.96 exercise price | 2017-04-27 | |
| 2017-02-09 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,591 4,591 owned after | $0.96 exercise price | 2017-04-27 | |
| 2016-01-29 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · The Shoshana Shapiro Halpern Revocable Trust UA June 13, 2006 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $5.25 exercise price | 2016-03-29 | |
| 2015-05-12 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,446 2,446 owned after | $5.25 exercise price | 2016-01-25 | |
| 2015-05-12 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +114,775 114,775 owned after | $5.25 exercise price | 2016-01-25 | |
| 2015-05-12 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,591 4,591 owned after | $5.25 exercise price | 2016-01-25 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −7,143 0 owned after | $16.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −208 0 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −1,786 0 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −89 0 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −178,571 0 owned after | $16.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −5,089 0 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −1,607 0 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −34,619 0 owned after | $14.00 exercise price | 2013-12-19 | |
| 2013-12-18 | SCHWEITZER ROBERT C Director | 4 | Common Stock Warrant, right to buy Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $0.01 | 2013-12-18 | |
| 2013-12-18 | GOLDMAN DAVID Director | 4 | Common Stock Warrant, right to buy Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,000 3,000 owned after | $0.01 | 2013-12-18 | |
| 2013-12-18 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,777 0 owned after | $16.00 exercise price | 2013-12-18 | |
| 2013-12-18 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | J Other acquisition or disposition (describe transaction) | $16.00 exercise price | 2013-12-18 | ||
| 2013-10-01 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.08 exercise price | 2013-10-02 | ||
| 2013-07-01 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.08 exercise price | 2013-07-02 | ||
| 2013-06-19 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.08 exercise price | 2013-06-21 | ||
| 2013-04-09 | SHORT W. JOHN Director, Officer (CEO) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.08 exercise price | 2013-04-17 | ||
| 2012-08-31 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,571 41,571 owned after | $0.07 exercise price | 2012-09-06 | |
| 2012-07-31 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4/A | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +357,143 357,143 owned after | $0.08 exercise price | 2012-08-16 | |
| 2012-07-31 | HALPERN BARUCH Director | 4/A | Common Stock Warrant, right to buy Derivative · Indirect · The Shoshana Shapiro Halpern Revocable Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,714,286 35,714,286 owned after | $0.08 exercise price | 2012-08-16 | |
| 2012-07-31 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4 | Common Stock Warrant, right to buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.12 exercise price | 2012-08-06 | ||
| 2012-07-31 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.08 exercise price | 2012-08-06 | ||
| 2012-07-31 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +357,142 357,142 owned after | $0.08 exercise price | 2012-08-06 | |
| 2012-07-31 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000,000 0 owned after | $0.07 exercise price | 2012-08-06 | |
| 2012-07-31 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | $0.12 exercise price | 2012-08-06 | ||
| 2012-07-31 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.08 exercise price | 2012-08-06 | ||
| 2012-05-17 | HALPERN BARUCH Director | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $0.10 exercise price | 2012-06-04 | |
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Direct · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Direct · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.12 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Direct · (m) | Holding | $0.15 exercise price | 2012-02-23 | ||
| 2012-02-23 holding as of filing | HALPERN BARUCH Director | 3/A | Common Stock Warrant, right to buy Derivative · Direct · (m) | Holding | $0.10 exercise price | 2012-02-23 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-01-20 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-01-20 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.10 exercise price | 2012-01-20 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | Common Stock Warrant, right to buy Derivative · Direct · (m) | Holding | $0.10 exercise price | 2012-01-20 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | Common Stock Warrant, right to buy Derivative · Direct · (m) | Holding | $0.10 exercise price | 2012-01-20 | ||
| 2012-01-20 holding as of filing | HALPERN BARUCH Director | 3 | Common Stock Warrant, right to buy Derivative · Indirect · (m) | Holding | $0.12 exercise price | 2012-01-20 | ||
| 2012-01-18 | LINTZENICH JAMES C Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · Zanesville Partners Fund, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2012-01-20 | ||
| 2012-01-18 | MCMILLAN EDWARD Director | 4 | Common Stock Warrant, right to buy Derivative · Indirect · Edward L. McMillan Revocable Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2012-01-20 | ||
| 2012-01-18 | SHORT W. JOHN Director, Officer (Chief Executive Officer) | 4 | Common Stock Warrant, right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $0.12 exercise price | 2012-01-20 | ||
| 2008-03-31 | SAUNDERS STEVEN Director | 4 | Stock Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 0 owned after | $0.50 | 2008-04-01 |