SRAX, Inc. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-17: Reporting owner Hannan Joseph Patrick; Form 4/A; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-17: Reporting owner Hannan Joseph Patrick; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-17: Reporting owner Hannan Joseph Patrick; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-17: Reporting owner Hannan Joseph Patrick; Form 4; Security Restricted Stock Unit; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-10-17 | Hannan Joseph Patrick Officer (Chief Financial Officer) | 4/A | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | $0.00 | 2017-11-16 | |
| 2017-10-17 | Hannan Joseph Patrick Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 50,000 owned after | $0.00 | 2017-11-01 | |
| 2016-10-17 | Hannan Joseph Patrick Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2016-10-28 | |
| 2016-10-17 | Hannan Joseph Patrick Officer (Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2016-10-28 | |
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2016-04-14 holding as of filing | Thumati Rahul Officer (Chief Financial Officer) | 3 | Restricted Stock Grant Derivative · Direct | Holding | no price filed | 2016-04-14 | ||
| 2014-11-10 holding as of filing | McQueen Carrie E Officer (Chief Financial Officer) | 3 | Restricted stock award Derivative · Direct | Holding | no price filed | 2014-11-10 | ||
| 2013-12-16 holding as of filing | Nelson Kristoffer E. Officer (EVP - Revenues and Operations) | 3 | Restricted stock award Derivative · Direct | Holding | no price filed | 2013-12-16 | ||
| 2013-12-16 holding as of filing | Nelson Kristoffer E. Officer (EVP - Revenues and Operations) | 3 | Restricted stock award Derivative · Direct | Holding | no price filed | 2013-12-16 | ||
| 2013-12-16 holding as of filing | Nelson Kristoffer E. Officer (EVP - Revenues and Operations) | 3 | Restricted stock award Derivative · Direct | Holding | no price filed | 2013-12-16 |