SEC Form 4 · accession 0001209191-16-150672
PULSE BIOSCIENCES, INC. · PLSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Levande
Director · Other
Period of report
Nov 16, 2016
Accepted (ET)
Nov 16, 2016 · 6:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001625101
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $5.00 | Nov 16, 2016 | A | 85,385 | A | Nov 16, 2016 | May 13, 2021 | Common Stock | 85,385 | 85,385 | D |
Explanation of responses
- F1The warrant was originally issued to MDB Capital Group, LLC ("MDB"), pursuant to that certain Underwriting Agreement, dated May 17, 2016, between the Company and MDB as representative of the underwriters in connection with the Issuer's initial public offering, and subsequently re-issued to the Reporting Person.