SEC Form 5 · accession 0001477932-16-009375
DAIS ANALYTIC CORP · DLYT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Tuner
Director
Period of report
Dec 31, 2015
Accepted (ET)
Mar 30, 2016 · 9:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001125699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 2,850,000 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option | $0.07 | Dec 16, 2013 | A | 300,000 | A | Dec 16, 2013 | Dec 16, 2023 | Common Stock | 300,000 | 300,000 | D |
| Option | $0.30 | Dec 17, 2014 | A | 300,000 | A | Dec 17, 2014 | Dec 17, 2024 | Common Stock | 300,000 | 600,000 | D |
| WarrantF1 | $0.50 | holding | — | — | — | Jul 12, 2013 | Jul 12, 2018 | Common Stock | 587,500 | 587,500 | I |
| WarrantF1 | $0.50 | holding | — | — | — | Sep 19, 2013 | Sep 19, 2018 | Common Stock | 125,000 | 712,500 | I |
Explanation of responses
- F12,850,000 shares of common stock and warrants to purchase 712,500 shares of common stock owned by a limited liability company for which Mr. Turner is the natural person with voting power.