UNIQUE FABRICATING, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-03-04: Reporting owner Baum Richard L Jr; Form 4; Security Warrant to Buy Common Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2022-03-04: Reporting owner Cooke William; Form 4; Security Warrant to Buy Common Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2016-02-23: Reporting owner Baum Richard L Jr; Form 4; Security Warrant to Buy Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2015-08-04: Reporting owner Peninsula Fund V Limited Partnership; Form 4; Security Warrant to Buy Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-03-04 | Baum Richard L Jr Director | 4 | Warrant to Buy Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +19,540 27,040 owned after | $3.12 exercise price | 2022-03-07 | |
| 2022-03-04 | Cooke William Director | 4 | Warrant to Buy Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +15,632 23,132 owned after | $3.12 exercise price | 2022-03-07 | |
| 2016-02-23 | Baum Richard L Jr Director | 4 | Warrant to Buy Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −21,993 0 owned after | $3.33 exercise price | 2016-02-23 | |
| 2015-08-04 | Peninsula Fund V Limited Partnership 10% Owner | 4 | Warrant to Buy Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −29,232 0 owned after | $3.33 exercise price | 2015-08-05 | |
| 2015-06-30 holding as of filing | Peninsula Fund V Limited Partnership 10% Owner | 3 | Warrant to Buy Common Stock Derivative · Direct | Holding | $3.33 exercise price | 2015-06-30 |