SORRENTO TECH, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-03-24: Reporting owner Mary Beth Duseau; Form 4; Security Common Stock, $0.001 par value per share; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-03-24: Reporting owner Boesgaard Lars; Form 4; Security Common stock, par value $0.001 per share; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-07-22: Reporting owner TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G; Form 4; Security Series A Common Stock; Transaction C Conversion of derivative security.
- 2014-07-16: Reporting owner Cohen Fred E; Form 3; Security No securities beneficially owned; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-03-24 | Mary Beth Duseau Officer (CEO and President) | 4 | Common Stock, $0.001 par value per share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +115,000 115,000 owned after | $3.45 exercise price | 2017-03-28 | |
| 2017-03-24 | Boesgaard Lars Officer (Vice President, CFO) | 4 | Common stock, par value $0.001 per share Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +54,000 54,000 owned after | $3.45 exercise price | 2017-03-28 | |
| 2014-07-22 | TPG Group Holdings (SBS) Advisors, Inc. | BONDERMAN DAVID | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 4 | Series A Common Stock Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −3,880 0 owned after | no price filed | 2014-07-24 | |
| 2014-07-16 holding as of filing | Cohen Fred E Director | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2014-07-16 | |
| 2014-07-16 holding as of filing | BONDERMAN DAVID | TPG Group Holdings (SBS) Advisors, Inc. | COULTER JAMES G 10% Owner | 10% Owner | 10% Owner | 3 | Series A Common Stock Derivative · Indirect · See Explanation of Responses | Holding | no price filed | 2014-07-16 |