4//SEC Filing
Ullrich Peter 4
Accession 0000914062-12-000149
CIK 0001170816other
Filed
Apr 15, 8:00 PM ET
Accepted
Apr 16, 10:35 AM ET
Size
21.0 KB
Accession
0000914062-12-000149
Insider Transaction Report
Form 4
EAU TECHNOLOGIES, INC.EAUI.OB
Ullrich Peter
Director10% Owner
Transactions
- Award
Stock Option
2012-01-01+290,325→ 290,325 totalExercise: $0.31From: 2012-01-01Exp: 2022-01-01→ Common Stock (290,325 underlying) - Award
Convertible Promissory Note
2011-12-31+3,000,000→ 3,000,000 totalExercise: $1.00From: 2011-12-31Exp: 2013-11-30→ Common Stock (3,000,000 underlying) - Exercise of In-Money
Warrant
2011-12-31−5,806,452→ 1,162,779 totalExercise: $0.31From: 2011-12-31Exp: 2016-12-31→ Common Stock (5,806,452 underlying) - Award
Warrant
2010-10-21+6,969,231→ 6,969,231 totalExercise: $0.31From: 2010-10-21Exp: 2015-10-21→ Common Stock (6,969,231 underlying) - Exercise of In-Money
Common Stock
2011-12-31$0.31/sh+5,806,452$1,800,000→ 9,322,221 total - Award
10% Convertible Note due November 2013
2011-12-13+358,527→ 358,527 totalExercise: $1.00From: 2011-12-31Exp: 2013-11-30→ Common Stock (358,527 underlying) - Award
Warrant
2011-12-31+358,527→ 358,527 totalExercise: $0.31From: 2011-12-31Exp: 2016-12-31→ Common Stock (358,527 underlying) - Purchase
Common Stock
2011-12-31$0.31/sh+2,593,549$804,000→ 11,915,770 total
Holdings
- 7,330,770(indirect: By LLC)
Common Stock
Footnotes (4)
- [F1]In December 2011, the Board of Directors of the Company agreed in principle to the sale by the Company shares of Common Stock of the Company to the Reporting Person. On March 1, 2011, the Board of Directors of the Company formally authorized the sale by the Company of 2,593,549 unregistered shares of Common Stock of the Company at a price of $0.31 per share to the Reporting Person. The sale was made pursuant to a Stock Purchase Agreement between the Company and the Reporting Person.
- [F2]Options vest as follows: 145,163 immediately, 96,775 on January 1, 2013, and 48,387 on January 1, 2014.
- [F3]On December 31, 2011, the Reporting Person and EAU Technologies, Inc. (the "Company") entered into a loan agreement (the "Note"). The principal amount of the Note is $358,527. The Note will bear interest at a rate of 10% annually and will mature on November 30, 2013. The Note is convertible into shares of the Company's common stock at $1.00 per share and no principal or interest payments are due until maturity.
- [F4]The Board approved the amendment of certain terms of the Company's $3,000,000 Third Amended and Restated Senior Secured Convertible Promissory Note dated October 21, 2010 (the "Promissory Note") with Water Science, Inc. The Promissory Note will be amended to extend the maturity date to November 30, 2013.
Documents
Issuer
EAU TECHNOLOGIES, INC.
CIK 0001170816
Entity typeother
Related Parties
1- filerCIK 0001361751
Filing Metadata
- Form type
- 4
- Filed
- Apr 15, 8:00 PM ET
- Accepted
- Apr 16, 10:35 AM ET
- Size
- 21.0 KB