TREX WIND-DOWN, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-24: Reporting owner Morlock Stephen; Form 4; Security Warrant to purchase common stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-11-24: Reporting owner Morlock Stephen; Form 4; Security Warrant to purchase common stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-04-28: Reporting owner Vivo Capital Fund VIII, L.P.; Form 4; Security Common Stock Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-11-28: Reporting owner Morlock Stephen; Form 4/A; Security Warrants to purchase common stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-11-24 | Morlock Stephen Director | 4 | Warrant to purchase common stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +330,000 330,000 owned after | $0.20 exercise price | 2017-11-27 | |
| 2017-11-24 | Morlock Stephen Director | 4 | Warrant to purchase common stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +330,000 330,000 owned after | $0.25 exercise price | 2017-11-27 | |
| 2017-04-28 | Vivo Capital Fund VIII, L.P. 10% Owner | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +641,026 641,026 owned after | $0.90 exercise price | 2017-05-01 | |
| 2016-11-28 | Morlock Stephen Director | 4/A | Warrants to purchase common stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +321,428 321,428 owned after | $0.35 exercise price | 2016-11-29 | |
| 2016-11-22 | FRANKLIN RESOURCES INC 10% Owner | 4 | Class A Warrants Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +4,375,000 4,375,000 owned after | $0.35 exercise price | 2016-11-30 | |
| 2016-03-29 | FRANKLIN RESOURCES INC 10% Owner | 4 | Warrants Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +270,000 270,000 owned after | $1.20 exercise price | 2016-03-31 |