SEC Form 4 · accession 0001470843-15-000007
Guardian 8 Holdings · GRDH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jim Nolton
Director
Period of report
Jan 10, 2015
Accepted (ET)
Mar 10, 2015 · 9:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001429592
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 10, 2015 | P | 20,000 | $0.25 | A | 580,479 | D | |
| Common StockF2 | Feb 17, 2015 | P | 22,000 | $0.50 | A | 602,479 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Purchase WarrantF1 | $0.25 | Jan 10, 2015 | X | 20,000 | D | Jan 12, 2012 | Jan 11, 2015 | Common Stock | 20,000 | 0 | D |
| Class D WarrantF2 | $0.50 | Feb 17, 2015 | A | 22,000 | A | Feb 17, 2015 | Feb 16, 2020 | Common Stock | 22,000 | 22,000 | D |
Explanation of responses
- F1Exercise of warrant to purchase shares of common stock at $0.25 per share.
- F2Unit purchase at $0.50 per unit direct from the Issuer. Each unit includes one share of common stock and one five year warrant to purchase one share of common stock at $0.50 per share.