SEC Form 4 · accession 0001553350-18-001250
GelTech Solutions, Inc. · GLTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren B Mosler
10% Owner
Period of report
Nov 14, 2018
Accepted (ET)
Nov 15, 2018 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403676
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 14, 2018 | A | 750,000 | — | A | 5,215,325 | I | By Valance Company, Inc. |
| Common Stock | holding | — | — | — | 11,964,477 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants (Right to Buy)F1,F2 | $2.00 | Nov 14, 2018 | A | 375,000 | A | Nov 14, 2018 | Nov 14, 2020 | Common Stock | 375,000 | 375,000 | I |
Explanation of responses
- F1The securities were issued in connection with an investment of $150,000.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.