SEC Form 3 · accession 0001209191-16-119854
PULSE BIOSCIENCES, INC. · PLSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
NewBEM Corp.
10% Owner
Period of report
May 13, 2016
Accepted (ET)
May 13, 2016 · 3:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001625101
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 969,048 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F1 | $4.00 | holding | — | — | — | — | Mar 2, 2026 | Common Stock | 93,782 | — | I |
| Stock Option (right to buy)F3,F1 | $4.00 | holding | — | — | — | — | Mar 2, 2026 | Common Stock | 4,000 | — | I |
Explanation of responses
- F1The shares subject to the option will vest in equal quarterly installments over a four year period that commenced on December 15, 2015, subject to the optionee's continued service through each vesting date.
- F2Options are held by Richard Nuccitelli, who serves as an executive officer of NewBEM Corp. and is a service provider to the Issuer.
- F3Options are held by Pamela Nuccitelli, who serves as an executive officer of NewBEM Corp. and is a service provider to the Issuer.