SPENDSMART NETWORKS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 75 rows, 75 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-07-05: Reporting owner Liddy Francis J Jr; Form 3; Security Stock Option (option to buy); Transaction Holding.
- 2016-03-21: Reporting owner BLECH ISAAC; Form 4; Security Stock Option (option to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-21: Reporting owner EYLER JOHN H JR; Form 4; Security Stock Option (option to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-21: Reporting owner Miniccuci Alex; Form 4; Security Stock Option (option 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-07-05 holding as of filing | Liddy Francis J Jr Director | 3 | Stock Option (option to buy) Derivative · Direct | Holding | $0.11 exercise price | 2016-07-05 | ||
| 2016-03-21 | BLECH ISAAC Director | 4 | Stock Option (option to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +663,330 663,330 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-21 | EYLER JOHN H JR Director | 4 | Stock Option (option to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +464,331 464,331 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-21 | Miniccuci Alex Director, Officer (CHIEF EXECUTIVE OFFICER), 10% Owner | 4 | Stock Option (option to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +464,331 464,331 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-21 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (option to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,261,745 1,261,745 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-21 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +663,330 663,330 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-21 | Wallace Luke Officer (CHIEF OPERATING OFFICER) | 4 | Stock Option (option to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +397,998 397,998 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-21 | Schnell Brett Reid Officer (CHIEF FINANCIAL OFFICER) | 4 | Stock Option (option to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +198,999 198,999 owned after | $0.12 exercise price | 2016-03-23 | |
| 2016-03-04 holding as of filing | Schnell Brett Reid Officer (Chief Financial Officer) | 3 | Stock Option (option to buy) Derivative · Direct | Holding | $1.15 exercise price | 2016-03-04 | ||
| 2016-03-04 holding as of filing | Schnell Brett Reid Officer (Chief Financial Officer) | 3 | Stock Option (option to buy) Derivative · Direct | Holding | $1.15 exercise price | 2016-03-04 | ||
| 2016-02-18 holding as of filing | Wallace Luke Officer (Chief Operating Officer) | 3 | Stock Option (option to buy) Derivative · Direct | Holding | $1.15 exercise price | 2016-02-18 | ||
| 2016-02-18 holding as of filing | Wallace Luke Officer (Chief Operating Officer) | 3 | Stock Option (option to buy) Derivative · Direct | Holding | $1.15 exercise price | 2016-02-18 | ||
| 2015-09-30 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,358,696 1,358,696 owned after | $0.17 exercise price | 2015-11-27 | |
| 2015-09-30 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,358,696 1,358,696 owned after | $0.46 exercise price | 2015-10-01 | |
| 2015-05-26 holding as of filing | Neuschwander Bruce Officer (Chief Financial Officer) | 3 | Stock Option (Option to Buy) Derivative · Direct | Holding | $0.65 exercise price | 2015-05-26 | ||
| 2015-03-05 | BLECH ISAAC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $0.92 exercise price | 2015-09-21 | |
| 2015-03-03 holding as of filing | Gerencser Charles Neale Officer (Chief Revenue Officer) | 3 | Stock Option Derivative · Direct | Holding | $1.15 exercise price | 2015-03-03 | ||
| 2015-01-28 holding as of filing | Boris Timothy Officer (General Counsel) | 3 | Stock Option (Option to Buy) Derivative · Direct | Holding | $1.15 exercise price | 2015-01-28 | ||
| 2014-11-25 | BLECH ISAAC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +550,000 550,000 owned after | $1.15 exercise price | 2015-09-21 | |
| 2014-11-25 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −133,333 0 owned after | $1.95 exercise price | 2014-11-28 | |
| 2014-11-25 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +124,000 124,000 owned after | $1.15 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −19,000 0 owned after | $9.00 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,333 0 owned after | $9.00 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,580 0 owned after | $9.00 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $9.00 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Common Stock (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,667 0 owned after | $7.20 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −66,667 0 owned after | $6.30 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −116,666 0 owned after | $6.45 exercise price | 2014-11-28 | |
| 2014-11-25 | Sucoff Cary Director | 4 | Common Stock (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +263,000 263,000 owned after | $1.15 exercise price | 2014-11-28 | |
| 2014-11-25 | Proto Joseph Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −133,333 0 owned after | $6.60 exercise price | 2014-11-28 | |
| 2014-11-25 | Proto Joseph Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $6.45 exercise price | 2014-11-28 | |
| 2014-11-25 | Proto Joseph Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +310,000 310,000 owned after | $1.15 exercise price | 2014-11-28 | |
| 2014-11-25 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,133 0 owned after | $15.00 exercise price | 2014-11-28 | |
| 2014-11-25 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,667 0 owned after | $15.00 exercise price | 2014-11-28 | |
| 2014-11-25 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,667 0 owned after | $9.00 exercise price | 2014-11-28 | |
| 2014-11-25 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −66,667 0 owned after | $8.40 exercise price | 2014-11-28 | |
| 2014-11-25 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −133,333 0 owned after | $6.45 exercise price | 2014-11-28 | |
| 2014-11-25 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +207,000 207,000 owned after | $1.15 exercise price | 2014-11-28 | |
| 2014-08-01 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $1.14 exercise price | 2014-08-05 | |
| 2014-08-01 | Proto Joseph Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.14 exercise price | 2014-08-05 | |
| 2014-08-01 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.14 exercise price | 2014-08-05 | |
| 2014-08-01 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $1.14 exercise price | 2014-08-05 | |
| 2014-08-01 | BLECH ISAAC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $1.14 exercise price | 2014-08-05 | |
| 2014-03-21 | Hernandez-Ellsworth William M. Other (FORMER PRESIDENT AND DIRECTOR) | 4/A | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $1.15 exercise price | 2015-01-30 | |
| 2014-03-21 | Hernandez-Ellsworth William M. Director, Officer (President) | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 565,743 owned after | $1.15 exercise price | 2014-04-25 | |
| 2014-03-21 | Miniccuci Alex Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 3,970,000 owned after | $1.15 exercise price | 2014-03-27 | |
| 2014-03-21 | Hernandez-Ellsworth William M. Director, Officer (President) | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 518,333 owned after | $1.15 exercise price | 2014-03-26 | |
| 2014-03-19 | Hernandez-Ellsworth William M. Other (FORMER PRESIDENT AND DIRECTOR) | 4/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.87 exercise price | 2015-01-30 | |
| 2014-03-19 | RUBINSTEIN JEROLD H Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $0.87 exercise price | 2014-05-23 | |
| 2014-03-19 | BLECH ISAAC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.87 exercise price | 2014-04-29 | |
| 2014-03-19 | BLECH ISAAC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 545,000 owned after | $0.87 exercise price | 2014-04-29 | |
| 2014-03-19 | Sucoff Cary Director | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 638,928 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | Sucoff Cary Director | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 683,928 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | KOLENICK PATRICK Director | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 438,466 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | KOLENICK PATRICK Director | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 483,466 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | Hernandez-Ellsworth William M. Director, Officer (President) | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 420,743 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | Hernandez-Ellsworth William M. Director, Officer (President) | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 465,743 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | Proto Joseph Director | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 1,164,640 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | Proto Joseph Director | 4/A | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 1,209,640 owned after | $0.87 exercise price | 2014-04-25 | |
| 2014-03-19 | Sucoff Cary Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 312,500 owned after | $0.87 exercise price | 2014-04-03 | |
| 2014-03-19 | Proto Joseph Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 1,235,799 owned after | $0.87 exercise price | 2014-03-27 | |
| 2014-03-19 | KOLENICK PATRICK Director | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 330,134 owned after | $0.87 exercise price | 2014-03-27 | |
| 2014-03-19 | Hernandez-Ellsworth William M. Director, Officer (President) | 4 | Stock Option (Option to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 418,333 owned after | $0.87 exercise price | 2014-03-26 | |
| 2012-12-07 holding as of filing | Hernandez-Ellsworth William M. Officer (President) | 3/A | Option Derivative · Direct | Holding | $0.42 exercise price | 2012-12-07 | ||
| 2012-12-07 holding as of filing | Hernandez-Ellsworth William M. Officer (President) | 3/A | Option Derivative · Direct | Holding | $0.43 exercise price | 2012-12-07 | ||
| 2012-12-07 holding as of filing | Hernandez-Ellsworth William M. Officer (President), 10% Owner | 3 | Option Derivative · Direct | Holding | $0.42 exercise price | 2012-12-07 | ||
| 2012-12-07 holding as of filing | Hernandez-Ellsworth William M. Officer (President), 10% Owner | 3 | Option Derivative · Direct | Holding | $0.43 exercise price | 2012-12-07 | ||
| 2012-07-23 | Sucoff Cary Director | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000,000 4,493,700 owned after | $0.43 exercise price | 2012-08-01 | |
| 2012-07-23 | McCoy Michael Robert Director, Officer (President and CEO) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,400,000 15,000,000 owned after | $0.43 exercise price | 2012-08-01 | |
| 2011-10-11 holding as of filing | McCoy Michael Robert Director, Officer (Chief Executive Officer) | 3 | Option Derivative · Direct | Holding | $0.48 exercise price | 2011-10-11 | ||
| 2011-07-19 | Shultz Jonathan Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −1,140,000 3,000,000 owned after | $0.48 | 2011-07-19 | |
| 2011-07-19 | Shultz Jonathan Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −1,860,000 3,000,000 owned after | $0.48 | 2011-07-19 | |
| 2011-07-19 | Shultz Jonathan Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $0.48 | 2011-07-19 | |
| 2008-05-22 | Shultz Jonathan Officer (Chief Financial Officer) | 4 | Stock options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,860,000 3,000,000 owned after | $0.74 exercise price | 2008-05-28 | |
| 2007-11-26 holding as of filing | Shultz Jonathan Officer (CFO, Treasurer) | 3 | Stock Options Derivative · Direct | Holding | $2.86 exercise price | 2007-11-26 |