SEC Form 4 · accession 0001140361-15-024036
AFTERMASTER, INC. · AFTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry M Goldwater Jr.
Director
Period of report
Aug 29, 2007
Accepted (ET)
Jun 12, 2015 · 11:20 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000836809
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 21, 2007 | A | 1,000 | $4.13 | A | 1,000 | D | |
| Common Stock | Jun 11, 2009 | A | 22,000 | $0.61 | A | 23,000 | D | |
| Common Stock | Jul 22, 2009 | A | 12,048 | $0.47 | A | 35,048 | D | |
| Common Stock | Nov 20, 2009 | A | 4,016 | $0.47 | A | 39,064 | D | |
| Common Stock | Nov 20, 2009 | A | 14,535 | $0.52 | A | 53,599 | D | |
| Common Stock | Dec 23, 2009 | A | 1,000 | $0.74 | A | 54,599 | D | |
| Common Stock | Jan 22, 2010 | A | 10,235 | $0.73 | A | 64,834 | D | |
| Common Stock | Apr 23, 2010 | A | 11,274 | $0.67 | A | 76,108 | D | |
| Common Stock | Jul 22, 2010 | A | 13,860 | $0.72 | A | 89,968 | D | |
| Common Stock | Oct 8, 2010 | A | 16,878 | $0.59 | A | 106,846 | D | |
| Common Stock | Dec 30, 2010 | A | 1,000 | $0.71 | A | 107,846 | D | |
| Common Stock | Mar 1, 2011 | A | 21,786 | $0.69 | A | 129,632 | D | |
| Common Stock | May 4, 2011 | A | 15,000 | $1.00 | A | 144,632 | D | |
| Common Stock | Jul 25, 2011 | A | 23,077 | $0.65 | A | 167,709 | D | |
| Common Stock | Nov 3, 2011 | A | 28,846 | $0.52 | A | 196,555 | D | |
| Common Stock | Nov 19, 2012 | A | 224,116 | $0.27 | A | 420,671 | D | |
| Common Stock | Feb 22, 2013 | A | 121,212 | $0.12 | A | 541,883 | D | |
| Common Stock | May 8, 2013 | A | 140,845 | $0.11 | A | 682,728 | D | |
| Common Stock | Jul 22, 2013 | A | 89,686 | $0.17 | A | 772,414 | D | |
| Common Stock | Oct 22, 2013 | A | 68,259 | $0.22 | A | 840,673 | D | |
| Common Stock | Jan 28, 2014 | A | 69,930 | $0.21 | A | 910,603 | D | |
| Common Stock | Apr 16, 2014 | A | 95,964 | $0.15 | A | 1,006,567 | D | |
| Common Stock | May 6, 2014 | A | 1,755 | $0.15 | A | 1,008,322 | D | |
| Common Stock | Jul 18, 2014 | A | 86,580 | $0.17 | A | 1,094,902 | D | |
| Common Stock | Feb 12, 2015 | A | 45,558 | $0.33 | A | 1,140,460 | D | |
| Common Stock | May 4, 2015 | A | 33,956 | $0.44 | A | 1,174,416 | D | |
| Common Stock | May 4, 2015 | A | 32,626 | $0.46 | A | 1,207,042 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $0.20 | Aug 29, 2007 | A | 50,000 | A | Aug 29, 2007 | Aug 29, 2022 | Common Stock | 50,000 | 50,000 | D |
| WarrantF2 | $0.20 | Nov 18, 2008 | A | 75,000 | A | Nov 18, 2008 | Nov 18, 2023 | Common Stock | 75,000 | 125,000 | D |
Explanation of responses
- F1Warrant No. B-1048 was issued 8-29-07 for 50,000 shares at an exerciser price of $4.09, with an exercise period of 10 years from date of grant. It was first amended on 11-18-08 to (i) reduce the exercise price to $1.00, (ii) extend the exercise period to 10 years from date of original grant, and (iii) add a cashless exercise provision. It was further amended on 9-11-09 to reduce the exercise price to $0.52. It was amended for third time on 2-4-14 to reduce the exercise price to $0.20 and extend the exercise period to 15 years from date of original grant.
- F2Warrant No. C-1088 was issued 11-18-08 for 75,000 shares at an exerciser price of $1.00, with an exercise period of 5 years from date of grant. It was amended on 9-11-09 to reduce the exercise price to $0.52. It was amended again on 2-4-14 to reduce the exercise price to $0.20 and extend the exercise period to 15 years from date of original grant.