SEC Form 4 · accession 0001185185-15-000263
Notis Global, Inc. · NGBL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vincent Chase, Inc.
10% Owner
Period of report
Feb 5, 2015
Accepted (ET)
Feb 11, 2015 · 8:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001547996
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 5, 2015 | S | 500 | $2.96 | D | 13,313,945 | D | |
| Common StockF2 | Feb 5, 2015 | S | 125,820 | $2.3516 | D | 13,188,125 | D | |
| Common Stock | Feb 6, 2015 | S | 500 | $1.64 | D | 13,187,625 | D | |
| Common StockF3 | Feb 6, 2015 | S | 300,000 | $1.6552 | D | 12,887,625 | D | |
| Common Stock | Feb 9, 2015 | S | 500 | $2.00 | D | 12,887,125 | D | |
| Common StockF4 | Feb 9, 2015 | S | 100,000 | $2.1895 | D | 12,787,625 | D | |
| Common Stock | Feb 10, 2015 | S | 500 | $1.968 | D | 12,786,625 | D | |
| Common StockF5 | Feb 10, 2015 | S | 250,000 | $1.8754 | D | 12,536,625 | D | |
| Common Stock | Feb 11, 2015 | S | 500 | $1.95 | D | 12,536,125 | D | |
| Common StockF6 | Feb 11, 2015 | S | 50,000 | $1.7785 | D | 12,486,125 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents sales made by reporting person's financial institution to cover a margin call occurring when the share price fell below $3 per share. All subject sales were not authorized by reporting person. Approximately $400,000 remains open on the margin call as of this date.
- F2The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.19 to $2.68 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2).
- F3The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.43 to $2.24 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3).
- F4The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.92 to $2.88 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4).
- F5The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.75 to $2.32 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5).
- F6The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.73 to $1.88 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6).