SEC Form 4 · accession 0001596563-17-000003
RiceBran Technologies · RIBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Baruch Halpern
Director
Period of report
Feb 9, 2017
Accepted (ET)
Apr 27, 2017 · 2:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001063537
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant, right to buyF1 | $0.96 | Feb 9, 2017 | A | 1,489,110 | A | Feb 9, 2017 | Feb 9, 2022 | Common Stock | 1,489,110 | 1,489,110 | I |
| Common Stock Warrant, right to buyF1 | $0.96 | Feb 9, 2017 | A | 56,459 | A | Feb 9, 2017 | Feb 9, 2022 | Common Stock | 56,459 | 56,459 | D |
| Common Stock Warrant, right to buyF2 | $0.96 | Feb 9, 2017 | A | 114,775 | A | May 12, 2015 | May 12, 2020 | Common Stock | 114,775 | 114,775 | I |
| Common Stock Warrant, right to buyF2 | $0.96 | Feb 9, 2017 | A | 4,591 | A | May 12, 2015 | May 12, 2020 | Common Stock | 4,591 | 4,591 | D |
Explanation of responses
- F1The warrants were issued in connection with the transactions with subordinated debt holders reported on the RiceBran Technologies Form 8-K dated 02/15/2017.
- F2As reported on the RiceBran Technologies Form 8-K dated 02/15/2017, warrants issued in connection with the 05/12/2015 transactions with subordinated debt holders were amended to decrease the exercise price on the warrants from $5.25 per share to $0.96 per share.