ULURU 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: 9 rows, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-04-10: Reporting owner Velocitas Partners LLC; Form 3; Security Secured Convertible Promissory Note; Transaction Holding.
- 2017-03-31: Reporting owner Velocitas Partners LLC; Form 4; Security Secured Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-02-27: Reporting owner Shah Vaidehi; Form 4; Security Secured Convertible Promissory Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-03-20: Reporting owner GRAY KERRY P; Form 4; Security Convertible Promissory Note; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-04-10 holding as of filing | Velocitas Partners LLC 10% Owner | 3 | Secured Convertible Promissory Note Derivative · Direct | Holding | $0.04 exercise price | 2017-04-10 | ||
| 2017-03-31 | Velocitas Partners LLC 10% Owner | 4 | Secured Convertible Promissory Note Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +500,000 1,000,000 owned after | $500,000.00 | 2017-04-10 | |
| 2017-02-27 | Shah Vaidehi Director, Officer (Chief Executive Officer) | 4 | Secured Convertible Promissory Note Derivative · Indirect · See footnote. | P Open market or private purchase of non-derivative or derivative security | $500,000.00 | 2017-03-06 | ||
| 2013-03-20 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | Holding | 115,741 owned after | $1.08 exercise price | 2013-03-20 | |
| 2013-03-20 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | Holding | 116,667 owned after | $1.20 exercise price | 2013-03-20 | |
| 2013-03-15 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | Holding | 115,741 owned after | $1.08 exercise price | 2013-03-15 | |
| 2013-03-15 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Convertible Promissory Note Derivative · Direct | Holding | 116,667 owned after | $1.20 exercise price | 2013-03-15 | |
| 2011-07-28 | GRAY KERRY P Director, Officer (Chief Executive Officer) | 4 | Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +115,741 300,742 owned after | $1.08 | 2011-09-28 | |
| 2011-06-13 | GRAY KERRY P Director, Officer (Chief Executive Officer) | 4 | Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +116,667 150,001 owned after | $1.20 | 2011-09-28 |