XPLORE TECHNOLOGIES CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows, 53 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-10-31: Reporting owner SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2012-10-31: Reporting owner SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2012-10-31: Reporting owner SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2012-10-31: Reporting owner SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −31,032,014 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −3,320,000 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −2,380,147 86,000 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −200,000 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −227,963 27,500 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −13,676,370 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,000,000 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | SG Phoenix LLC | Phoenix Venture Fund LLC | SASSOWER PHILIP S | ANDAX LLC | Goren Andrea | Phoenix Enterprises Family Fund, LLC Director, 10% Owner | Director, 10% Owner | Director, Officer, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −2,772,364 81,599 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | MISEMER KENT ALLEN Director | 4 | Series D Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −4,236 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | Holleran Mark Officer (President & COO) | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −58,484 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | LEONARDIS THOMAS Director | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −10,594 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | Irwin F. Ben Director | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −10,594 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | RAPISAND MICHAEL J Officer (Chief Financial Officer) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −147,059 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | RAPISAND MICHAEL J Officer (Chief Financial Officer) | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −35,090 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | Usher-Jones Brian Director | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −128,708 0 owned after | $0.00 | 2012-11-02 | |
| 2012-10-31 | Bell Bryan J Officer (Vice President of Engineering) | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −27,423 0 owned after | $0.00 | 2012-11-02 | |
| 2011-11-09 holding as of filing | MISEMER KENT ALLEN Director | 3 | Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | $0.04 exercise price | 2011-11-09 | ||
| 2011-11-08 | MISEMER KENT ALLEN Director | 4 | Series D Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,000 179,000 owned after | $0.04 exercise price | 2011-11-09 | |
| 2011-11-07 | ELENIO FRANCIS J Director | 4 | Series D Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +4,000 6,000 owned after | $0.04 exercise price | 2011-11-09 | |
| 2011-10-14 | Goren Andrea Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 2,173,234 owned after | $1.00 | 2011-10-18 | |
| 2011-10-14 | SASSOWER PHILIP S Director, Officer (Chairman & CEO), 10% Owner | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 4,587,521 owned after | $1.00 | 2011-10-18 | |
| 2011-08-04 | Usher-Jones Brian Director | 4 | Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 112,660 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | ELENIO FRANCIS J Director | 4 | Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | Irwin F. Ben Director | 4 | Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | LEONARDIS THOMAS Director | 4 | Series D Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | Goren Andrea Director | 4 | Series D Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 2,255,416 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | Goren Andrea Director | 4 | Series D Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 2,255,416 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | SASSOWER PHILIP S Director, Officer (Chairman & CEO), 10% Owner | 4 | Series D Preferred Stock Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 4,147,023 owned after | $0.00 | 2011-08-05 | |
| 2011-08-04 | SASSOWER PHILIP S Director, Officer (Chairman & CEO), 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 4,147,023 owned after | $0.00 | 2011-08-05 | |
| 2011-02-23 | Phoenix Enterprises Family Fund, LLC 10% Owner | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +81,750 15,922,483 owned after | $1.00 | 2011-02-25 | |
| 2011-02-23 | Usher-Jones Brian Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +100,000 2,500,000 owned after | $1.00 | 2011-02-24 | |
| 2011-02-09 | RAPISAND MICHAEL J Officer (CFO & Corporate Secretary) | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.00 | 2011-02-11 | |
| 2011-02-09 | Holleran Mark Officer (President & COO) | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.00 | 2011-02-11 | |
| 2011-02-09 | Bell Bryan J Officer (Vice President Engineering) | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.00 | 2011-02-11 | |
| 2010-12-16 | Phoenix Venture Fund LLC 10% Owner | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,977,760 158,297,603 owned after | $1.00 | 2010-12-17 | |
| 2010-12-16 | SASSOWER PHILIP S Director, Officer (Chief Executive Officer) | 4 | Series D Participating Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,753,731 1,753,731 owned after | $1.00 | 2010-12-17 | |
| 2010-12-16 | Goren Andrea Director | 4 | Series D Participating Convertible Preferred Stock Derivative · Indirect · see footnote | J Other acquisition or disposition (describe transaction) | +25,527 25,527 owned after | $1.00 | 2010-12-17 | |
| 2009-12-31 | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,000,000 owned after | $0.05 | 2010-01-05 | |
| 2009-12-31 | Goren Andrea Director | 4 | Series C Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $0.05 | 2010-01-05 | |
| 2008-12-17 | Phoenix Enterprises Family Fund, LLC 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −5,171,847 0 owned after | $0.10 | 2008-12-23 | |
| 2008-12-17 | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −1,368,550 7,135,973 owned after | $0.10 | 2008-12-23 | |
| 2007-09-21 | Goren Andrea Director | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +3,320,000 3,320,000 owned after | $0.50 | 2007-09-25 | |
| 2007-09-21 | Phoenix Venture Fund LLC 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,320,000 3,320,000 owned after | $0.50 | 2007-09-25 | |
| 2007-09-21 | SASSOWER PHILIP S Director, Officer (Chairman and Chief Executive), 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +3,320,000 3,320,000 owned after | $0.50 | 2007-09-25 | |
| 2007-06-22 holding as of filing | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | Goren Andrea Director | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | Phoenix Venture Fund LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | Phoenix Enterprises Family Fund, LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | RAPISAND MICHAEL J Officer (Chief Financial Officer) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $0.34 exercise price | 2007-06-22 | ||
| 2007-06-22 holding as of filing | Philip S. Sassower 1996 Charitable Remainder Annuity Trust 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $0.34 exercise price | 2007-06-22 |