root9B Holdings, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows, 43 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-01-25: Reporting owner GRANO JOSEPH J JR; Form 4; Security Common Stock Purchase Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-06-10: Reporting owner Sucoff Cary; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-06-10: Reporting owner Sucoff Cary; Form 4; Security Warrant (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-06-10: Reporting owner BLECH ISAAC; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-01-25 | GRANO JOSEPH J JR Director, Officer (CEO and Chairman) | 4 | Common Stock Purchase Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,416 10,416 owned after | $12.00 | 2017-01-27 | |
| 2016-06-10 | Sucoff Cary Director | 4 | Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $1.05 exercise price | 2016-06-14 | |
| 2016-06-10 | Sucoff Cary Director | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.75 exercise price | 2016-06-14 | |
| 2016-06-10 | BLECH ISAAC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $1.05 exercise price | 2016-06-14 | |
| 2016-06-10 | BLECH ISAAC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.75 exercise price | 2016-06-14 | |
| 2016-06-10 | Morris Gregory C Director | 4 | Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $1.05 exercise price | 2016-06-14 | |
| 2016-06-10 | Morris Gregory C Director | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.75 exercise price | 2016-06-14 | |
| 2016-03-10 | CATSIMATIDIS JOHN A Director | 4/A | Warrant Derivative · Indirect · United Acquisition Corp. | P Open market or private purchase of non-derivative or derivative security | +220,682 220,682 owned after | $1.10 exercise price | 2016-03-15 | |
| 2016-03-10 | Wachtler Daniel William | 4/A | Warrant Derivative · Indirect · DWW Family Trust | P Open market or private purchase of non-derivative or derivative security | +230,273 230,273 owned after | $1.10 exercise price | 2016-03-14 | |
| 2016-02-29 | Sucoff Cary Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 0 owned after | $0.77 exercise price | 2016-03-07 | |
| 2016-02-25 | Kolenik Patrick Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −65,000 0 owned after | $0.77 exercise price | 2016-02-29 | |
| 2016-02-08 | Kolenik Patrick Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −75,000 0 owned after | $0.77 exercise price | 2016-02-12 | |
| 2016-02-08 | Sucoff Cary Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,000 0 owned after | $0.77 exercise price | 2016-02-11 | |
| 2016-02-02 | Kolenik Patrick Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 0 owned after | $0.77 exercise price | 2016-02-12 | |
| 2016-02-02 | Sucoff Cary Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 0 owned after | $0.77 exercise price | 2016-02-11 | |
| 2015-11-05 | CATSIMATIDIS JOHN A Director | 4 | Warrant (right to purcahse) Derivative · Indirect · United Acquisition Corp. | P Open market or private purchase of non-derivative or derivative security | +55,170 55,170 owned after | $1.50 exercise price | 2015-11-20 | |
| 2015-11-05 | Wachtler Daniel William | 4 | Warrant (right to purcahse) Derivative · Indirect · DWW Family Trust | P Open market or private purchase of non-derivative or derivative security | +56,818 56,818 owned after | $1.50 exercise price | 2015-11-10 | |
| 2015-08-21 | Sucoff Cary Director | 4 | Warrant (right to purchase) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $0.77 exercise price | 2015-08-25 | |
| 2015-08-11 | BLECH ISAAC | Blech Miriam | River Charitable Remainder Unitrust f/b/o Isaac Blech Director, 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Direct · (m) | H Expiration (or cancellation) of long derivative position with value received | −4,285,714 0 owned after | $0.77 | 2015-08-14 | |
| 2015-08-11 | BLECH ISAAC | Blech Miriam | River Charitable Remainder Unitrust f/b/o Isaac Blech Director, 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,285,714 4,285,714 owned after | $1.20 | 2015-08-14 | |
| 2015-08-11 | BLECH ISAAC | Blech Miriam | River Charitable Remainder Unitrust f/b/o Isaac Blech Director, 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · (m) | H Expiration (or cancellation) of long derivative position with value received | −2,857,142 0 owned after | $0.77 | 2015-08-14 | |
| 2015-08-11 | BLECH ISAAC | Blech Miriam | River Charitable Remainder Unitrust f/b/o Isaac Blech Director, 10% Owner | 10% Owner | 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,857,142 2,857,142 owned after | $1.20 | 2015-08-14 | |
| 2015-06-15 | Sucoff Cary Director | 4 | warrant, right to purchase Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −120,440 0 owned after | $0.77 exercise price | 2015-06-17 | |
| 2013-02-26 | Carnahan Kevin Todd Director | 4 | Warrants Derivative · Indirect · By The Carnahan Trust | P Open market or private purchase of non-derivative or derivative security | +23,334 23,334 owned after | $1.13 | 2013-03-01 | |
| 2013-01-25 | CATSIMATIDIS JOHN A Director | 4 | Warrants Derivative · Indirect · By United Acquisition Corp | P Open market or private purchase of non-derivative or derivative security | +83,334 83,334 owned after | $1.13 | 2013-01-31 | |
| 2012-07-05 holding as of filing | SIEGEL SEYMOUR Director | 3 | Warrants Derivative · Direct | Holding | $0.80 exercise price | 2012-07-05 | ||
| 2012-07-02 holding as of filing | Pitt Harvey L. Director | 3 | Warrants Derivative · Direct | Holding | $0.80 exercise price | 2012-07-02 | ||
| 2012-05-07 | BLECH ISAAC Director, 10% Owner | 4/A | Warrant (common stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $0.80 | 2012-05-24 | |
| 2012-05-07 | BLECH ISAAC Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $1.00 | 2012-05-16 | |
| 2011-10-20 holding as of filing | Carnahan Kevin Todd Director | 3 | Warrants Derivative · Direct | Holding | $1.05 exercise price | 2011-10-20 | ||
| 2011-09-23 holding as of filing | Sucoff Cary Director | 3 | Warrants Derivative · Direct | Holding | $0.77 exercise price | 2011-09-23 | ||
| 2011-09-23 holding as of filing | Sucoff Cary Director | 3 | warrants Derivative · Direct | Holding | $0.77 exercise price | 2011-09-23 | ||
| 2011-09-23 holding as of filing | Sucoff Cary Director | 3 | warrants Derivative · Direct | Holding | $0.77 exercise price | 2011-09-23 | ||
| 2011-09-23 holding as of filing | Sucoff Cary Director | 3 | warrants Derivative · Direct | Holding | $0.77 exercise price | 2011-09-23 | ||
| 2011-09-23 holding as of filing | Sucoff Cary Director | 3 | warrants Derivative · Direct | Holding | $1.05 exercise price | 2011-09-23 | ||
| 2011-06-10 | BLECH ISAAC Director, 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.05 | 2011-09-27 | |
| 2011-06-10 | KOLENICK PATRICK Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 390,000 owned after | $1.05 | 2011-09-23 | |
| 2011-06-10 | Morris Gregory C Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.05 | 2011-09-23 | |
| 2011-06-10 | Yarbrough Stephen W Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.05 | 2011-09-23 | |
| 2011-04-15 holding as of filing | KOLENICK PATRICK Director | 3 | Warrants Derivative · Direct | Holding | $0.77 exercise price | 2011-04-15 | ||
| 2011-04-15 holding as of filing | KOLENICK PATRICK Director | 3 | Warrants Derivative · Direct | Holding | $0.77 exercise price | 2011-04-15 | ||
| 2011-03-10 holding as of filing | Blech Miriam | River Charitable Remainder Unitrust f/b/o Isaac Blech | BLECH ISAAC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Direct · (m) | Holding | $0.77 exercise price | 2011-03-10 | ||
| 2011-03-10 holding as of filing | Blech Miriam | River Charitable Remainder Unitrust f/b/o Isaac Blech | BLECH ISAAC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant (right to buy) Derivative · Indirect · (m) | Holding | $0.77 exercise price | 2011-03-10 |