Spotlight Innovation Inc. Forms 3, 4 and 5: Warrants
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.
- 2017-05-22: Reporting owner Grunewald Cristopher; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-02-14: Reporting owner LANG CRAIG A; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-01-06: Reporting owner Agarwal Sanjeev; Form 3; Security Warrants; Transaction Holding.
- 2017-01-06: Reporting owner Agarwal Sanjeev; Form 3; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-05-22 | Grunewald Cristopher 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −500,000 500,000 owned after | $1.25 exercise price | 2017-05-25 | |
| 2017-02-14 | LANG CRAIG A Director | 4 | Warrant Derivative · Indirect · By IRA | P Open market or private purchase of non-derivative or derivative security | +24,000 24,000 owned after | no price filed | 2017-02-16 | |
| 2017-01-06 holding as of filing | Agarwal Sanjeev Director | 3 | Warrants Derivative · Direct | Holding | no price filed | 2017-01-06 | ||
| 2017-01-06 holding as of filing | Agarwal Sanjeev Director | 3 | Warrants Derivative · Direct | Holding | no price filed | 2017-01-06 | ||
| 2017-01-06 holding as of filing | Arthur Ralph Director | 3 | Warrants Derivative · Direct | Holding | no price filed | 2017-01-06 | ||
| 2016-12-31 | Kemery Michael 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +212,500 212,500 owned after | $1.20 | 2017-01-05 | |
| 2016-12-31 | K4 Enterprises, LLC 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +425,000 425,000 owned after | $1.20 | 2017-01-04 | |
| 2016-12-31 | Krohn John Michael Director, Officer (President, COO), 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +212,500 212,500 owned after | $1.20 | 2017-01-04 | |
| 2016-12-19 | Kemery Michael 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | P Open market or private purchase of non-derivative or derivative security | +1,037,500 1,037,500 owned after | $1.20 | 2016-12-21 | |
| 2016-12-19 | K4 Enterprises, LLC 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,075,000 2,075,000 owned after | $1.20 | 2016-12-21 | |
| 2016-12-19 | Krohn John Michael Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | P Open market or private purchase of non-derivative or derivative security | +1,037,500 1,037,500 owned after | $1.20 | 2016-12-21 | |
| 2016-12-09 holding as of filing | K4 Enterprises, LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.46 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | K4 Enterprises, LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.00 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | K4 Enterprises, LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.00 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | K4 Enterprises, LLC 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.25 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Kemery Michael 10% Owner | 3 | Warrant Derivative · Indirect · By LLC | Holding | $1.46 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Kemery Michael 10% Owner | 3 | Warrant Derivative · Indirect · By LLC | Holding | $1.00 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Kemery Michael 10% Owner | 3 | Warrant Derivative · Indirect · By LLC | Holding | $1.00 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Kemery Michael 10% Owner | 3 | Warrant Derivative · Indirect · By LLC | Holding | $1.25 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $1.29 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $1.29 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $1.29 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $1.29 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $1.29 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $1.29 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Indirect · (m) | Holding | $1.46 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Indirect · (m) | Holding | $1.00 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Indirect · (m) | Holding | $1.00 exercise price | 2016-12-09 | ||
| 2016-12-09 holding as of filing | Krohn John Michael Director, 10% Owner | 3 | Warrant Derivative · Indirect · (m) | Holding | $1.25 exercise price | 2016-12-09 |