ULURU INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 31 rows, 7 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.
- 2016-03-29: 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.
- 2016-03-29: Reporting owner Centric Capital Ventures LLC | Sacks Bradley J.; Form 4; Security Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-03-14: Reporting owner Wallberg Terrance K; Form 4; Security Warrant; 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 | |
| 2016-03-29 | 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 | |
| 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 | |
| 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 |