VERITEQ Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-04-13: Reporting owner TCA GLOBAL CREDIT MASTER FUND LP; Form 3; Security Series E Convertible Preferred Stock, par value $0.01; Transaction Holding.
- 2014-10-31: Reporting owner GEISSLER RANDOLPH K; Form 4; Security Series D Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-10-31: Reporting owner SILVERMAN SCOTT R; Form 4; Security Series D Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-10-22: Reporting owner SILVERMAN SCOTT R; Form 4; Security Series C Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-04-13 holding as of filing | TCA GLOBAL CREDIT MASTER FUND LP 10% Owner | 3 | Series E Convertible Preferred Stock, par value $0.01 Derivative · Direct | Holding | no price filed | 2018-04-13 | ||
| 2014-10-31 | GEISSLER RANDOLPH K Officer (President), 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +441 441 owned after | no price filed | 2014-11-04 | |
| 2014-10-31 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,400 1,400 owned after | no price filed | 2014-11-04 | |
| 2013-10-22 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −273,139 0 owned after | $0.00 | 2013-10-23 | |
| 2013-10-22 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −10,905 0 owned after | $0.00 | 2013-10-23 | |
| 2013-10-22 | GEISSLER RANDOLPH K Officer (President), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −45,472 0 owned after | $0.00 | 2013-10-23 | |
| 2013-10-22 | PENNI DANIEL E Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −954 0 owned after | $0.00 | 2013-10-23 | |
| 2013-10-22 | EDELSTEIN BARRY M Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,988 0 owned after | $0.00 | 2013-10-23 | |
| 2013-10-10 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −5,000 273,139 owned after | no price filed | 2013-10-15 | |
| 2013-07-12 | GEISSLER RANDOLPH K Officer (President), 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,472 45,472 owned after | no price filed | 2013-07-15 | |
| 2013-07-12 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +278,139 278,139 owned after | no price filed | 2013-07-15 | |
| 2013-07-12 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Series C Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,905 10,905 owned after | no price filed | 2013-07-15 | |
| 2013-07-12 | PENNI DANIEL E Director | 4/A | Series C Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +954 954 owned after | no price filed | 2013-07-15 | |
| 2013-07-12 | EDELSTEIN BARRY M Director | 4/A | Series C Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,988 1,988 owned after | no price filed | 2013-07-15 | |
| 2013-07-12 holding as of filing | POSITIVEID Corp 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2013-07-12 | ||
| 2013-07-08 | PENNI DANIEL E Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,542 9,542 owned after | no price filed | 2013-07-10 | |
| 2013-07-08 | EDELSTEIN BARRY M Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,878 39,756 owned after | no price filed | 2013-07-10 | |
| 2013-07-08 | GEISSLER RANDOLPH K Officer (President), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +454,718 454,718 owned after | no price filed | 2013-07-10 | |
| 2013-07-08 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,781,385 2,781,385 owned after | no price filed | 2013-07-10 | |
| 2013-07-08 | SILVERMAN SCOTT R Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,047 218,094 owned after | no price filed | 2013-07-10 |