ULURU INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows, 31 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-03-31: Reporting owner Velocitas Partners LLC; Form 4; Security Warrant (Right to Buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-03-31: Reporting owner Sacks Michael Ivan; Form 3; Security Warrant (right to buy); Transaction Holding.
- 2016-03-31: Reporting owner Wallberg Terrance K; Form 4; Security Warrant to purchase common stock, par value $0.001; Transaction Holding.
- 2016-03-29: Reporting owner Wallberg Terrance K; Form 4; Security Warrant to purchase common stock, par value $0.001; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-03-31 | Velocitas Partners LLC 10% Owner | 4 | Warrant (Right to Buy) Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +57,055,057 57,055,057 owned after | $0.04 exercise price | 2017-04-10 | |
| 2016-03-31 holding as of filing | Sacks Michael Ivan | 3 | Warrant (right to buy) Derivative · Direct | Holding | $0.09 exercise price | 2016-03-31 | ||
| 2016-03-31 holding as of filing | Wallberg Terrance K Director, Officer (Chief Financial Officer) | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | Holding | 60,000 owned after | $0.60 exercise price | 2016-03-31 | |
| 2016-03-29 | Wallberg Terrance K Director, Officer (Chief Financial Officer) | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +701,262 701,262 owned after | $0.09 | 2016-03-31 | |
| 2016-03-29 | Centric Capital Ventures LLC | Sacks Bradley J. Other (See Remarks) | | 4 | Warrant (right to buy) Derivative · Indirect · By Centric Capital Ventures LLC | P Open market or private purchase of non-derivative or derivative security | +266,480 266,480 owned after | $0.09 exercise price | 2016-03-31 | |
| 2015-12-24 | IPMD GmbH 10% Owner | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209,525 209,525 owned after | $0.68 | 2016-02-02 | |
| 2015-12-24 | IPMD GmbH 10% Owner | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +310,913 310,913 owned after | $0.68 | 2016-02-02 | |
| 2014-09-29 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrant Derivative · Direct | Holding | 600,000 owned after | $0.60 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrant Derivative · Direct | Holding | 34,722 owned after | $1.08 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrant Derivative · Direct | Holding | 35,000 owned after | $1.20 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | Holding | 60,000 owned after | $0.60 exercise price | 2014-09-29 | |
| 2014-01-31 | IPMD GmbH 10% Owner | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | J Other acquisition or disposition (describe transaction) | −3,000,000 0 owned after | $0.60 exercise price | 2014-02-04 | |
| 2014-01-07 holding as of filing | IPMD GmbH 10% Owner | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | Holding | 3,000,000 owned after | $0.60 exercise price | 2014-01-07 | |
| 2013-10-28 holding as of filing | IPMD GmbH 10% Owner | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | Holding | 3,000,000 owned after | $0.60 exercise price | 2013-10-28 | |
| 2013-09-06 holding as of filing | IPMD GmbH 10% Owner | 4 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | Holding | 3,000,000 owned after | $0.60 exercise price | 2013-09-06 | |
| 2013-05-10 holding as of filing | IPMD GmbH 10% Owner | 4 | Warrant to purchase Common Stock, par value $0.001 Derivative · Direct | Holding | 3,000,000 owned after | $0.60 exercise price | 2013-05-10 | |
| 2013-03-22 holding as of filing | Kuehne Klaus Director, 10% Owner | 4 | Warrant Derivative · Indirect · By IPMD GmbH | Holding | 3,000,000 owned after | $0.60 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Kerschbaumer Helmut Director, 10% Owner | 4 | Warrant Derivative · Indirect · By IPMD GmbH | Holding | 3,000,000 owned after | $0.60 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | Holding | 60,000 owned after | $0.60 exercise price | 2013-03-22 | |
| 2013-03-20 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrant Derivative · Direct | Holding | 600,000 owned after | $0.60 exercise price | 2013-03-20 | |
| 2013-03-20 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrant Derivative · Direct | Holding | 34,722 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 | Warrant Derivative · Direct | Holding | 35,000 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 | Warrant Derivative · Direct | Holding | 34,722 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 | Warrant Derivative · Direct | Holding | 35,000 owned after | $1.20 exercise price | 2013-03-15 | |
| 2013-03-14 | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +60,000 60,000 owned after | $0.60 | 2013-03-15 | |
| 2013-03-14 | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +600,000 600,000 owned after | $0.60 | 2013-03-15 | |
| 2013-01-22 holding as of filing | IPMD GmbH 10% Owner | 3 | Warrant to purchase common stock, par value $0.001 Derivative · Direct | Holding | $0.60 exercise price | 2013-01-22 | ||
| 2013-01-22 holding as of filing | Kuehne Klaus Director, 10% Owner | 3 | Warrant to purchase common stock, par value $0.001 Derivative · Indirect · By IPMD GmbH | Holding | $0.60 exercise price | 2013-01-22 | ||
| 2013-01-22 holding as of filing | Kerschbaumer Helmut Director, 10% Owner | 3 | Warrant to purchase common stock, par value $0.001 Derivative · Indirect · By IPMD GmbH | Holding | $0.60 exercise price | 2013-01-22 | ||
| 2011-07-28 | GRAY KERRY P Director, Officer (Chief Executive Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +34,722 335,464 owned after | $1.08 exercise price | 2011-09-28 | |
| 2011-06-13 | GRAY KERRY P Director, Officer (Chief Executive Officer) | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +35,000 185,001 owned after | $1.20 exercise price | 2011-09-28 |