SEC Form 4 · accession 0001209191-17-053232
PULSE BIOSCIENCES, INC. · PLSE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Duggan
10% Owner
Period of report
Sep 14, 2017
Accepted (ET)
Sep 18, 2017 · 9:06 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 StockF1 | Sep 14, 2017 | P | 50,300 | $11.6622 | A | 3,437,994 | D | |
| Common StockF2 | Sep 14, 2017 | P | 30,050 | $12.774 | A | 3,468,044 | D | |
| Common StockF3 | Sep 14, 2017 | P | 53,820 | $13.9007 | A | 3,521,864 | D | |
| Common StockF4 | Sep 14, 2017 | P | 47,450 | $14.5697 | A | 3,569,314 | D | |
| Common StockF5 | Sep 15, 2017 | P | 71,598 | $14.3791 | A | 3,640,912 | D | |
| Common StockF6 | Sep 15, 2017 | P | 125,000 | $15.7047 | A | 3,765,912 | D | |
| Common StockF7 | Sep 15, 2017 | P | 500 | $16.215 | A | 3,766,412 | D | |
| Common StockF8 | Sep 18, 2017 | P | 23,703 | $15.1155 | A | 3,790,115 | D | |
| Common StockF9 | Sep 18, 2017 | P | 7,497 | $15.4962 | A | 3,797,612 | D | |
| Common StockF10 | holding | — | — | — | 35,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is the weighted average purchase price of the shares, which ranged from $11.1366 to $12.13 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F10Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.
- F2This is the weighted average purchase price of the shares, which ranged from $12.14 to $13.13 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F3This is the weighted average purchase price of the shares, which ranged from $13.255 to $14.25 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F4This is the weighted average purchase price of the shares, which ranged from $14.265 to $15.01 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F5This is the weighted average purchase price of the shares, which ranged from $14.16 to $15.13 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F6This is the weighted average purchase price of the shares, which ranged from $15.18 to $16.05 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F7This is the weighted average purchase price of the shares, which ranged from $16.195 to $16.22 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F8This is the weighted average purchase price of the shares, which ranged from $14.4015 to $15.3999 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
- F9This is the weighted average purchase price of the shares, which ranged from $15.4463 to $15.569 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.