SRAX, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-11-21: Reporting owner Sumichrast Martin A.; Form 3; Security Convertible promissory note; Transaction Holding.
- 2014-11-21: Reporting owner Sumichrast Martin A.; Form 3; Security Convertible promissory note; Transaction Holding.
- 2014-11-21: Reporting owner Sumichrast Martin A.; Form 3; Security Convertible promissory note; Transaction Holding.
- 2014-11-21: Reporting owner SISKEY RICHARD C; Form 3; Security Convertible promissory note; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-11-21 holding as of filing | Sumichrast Martin A. 10% Owner | 3 | Convertible promissory note Derivative · Indirect · By Siskey Capital, LLC | Holding | $0.50 exercise price | 2014-11-21 | ||
| 2014-11-21 holding as of filing | Sumichrast Martin A. 10% Owner | 3 | Convertible promissory note Derivative · Indirect · By Siskey Capital Opportunity Fund, LLC | Holding | $0.50 exercise price | 2014-11-21 | ||
| 2014-11-21 holding as of filing | Sumichrast Martin A. 10% Owner | 3 | Convertible promissory note Derivative · Indirect · By Siskey Capital Opportunity Fund II, LLC | Holding | $0.50 exercise price | 2014-11-21 | ||
| 2014-11-21 holding as of filing | SISKEY RICHARD C 10% Owner | 3 | Convertible promissory note Derivative · Indirect · By Siskey Capital, LLC | Holding | $0.50 exercise price | 2014-11-21 | ||
| 2014-11-21 holding as of filing | SISKEY RICHARD C 10% Owner | 3 | Convertible promissory note Derivative · Indirect · By Siskey Capital Opportunity Fund, LLC | Holding | $0.50 exercise price | 2014-11-21 | ||
| 2014-11-21 holding as of filing | SISKEY RICHARD C 10% Owner | 3 | Convertible promissory note Derivative · Indirect · By Siskey Capital Opportunity Fund II, LLC | Holding | $0.50 exercise price | 2014-11-21 |