DUGGAN ROBERT W 4

Accession 0000950170-24-138177

CIK 0001625101other

Filed

Dec 17, 7:00 PM ET

Accepted

Dec 18, 9:36 PM ET

Size

22.0 KB

Accession

0000950170-24-138177

Form 4

Period: 2024-12-18

Director10% Owner

Transactions

Exercise of In-Money
Warrants (right to buy)
2024-12-18−34,510→ 0 total(indirect: Affiliated Company 1)
Exercise: $11.00From: 2024-07-03Exp: 2029-07-03→ Common Stock (34,510 underlying)
Exercise of In-Money
Warrants (right to buy)
2024-12-18−24,656→ 0 total(indirect: Affiliated Company 2)
Exercise: $11.00From: 2024-07-03Exp: 2029-07-03→ Common Stock (24,656 underlying)
Exercise of In-Money
Common Stock
2024-12-18$11.00/sh+49,312$542,432→ 450,189 total(indirect: Affiliated Company 2)
Exercise of In-Money
Warrants (right to buy)
2024-12-18−2,593,912→ 0 total
Exercise: $11.00From: 2024-07-03Exp: 2029-07-03→ Common Stock (2,593,912 underlying)
Exercise of In-Money
Warrants (right to buy)
2024-12-18−24,656→ 0 total(indirect: Affiliated Company 2)
Exercise: $11.00From: 2024-07-03Exp: 2029-07-03→ Common Stock (24,656 underlying)
Exercise of In-Money
Common Stock
2024-12-18$11.00/sh+5,187,824$57,066,064→ 47,516,541 total
Exercise of In-Money
Common Stock
2024-12-18$11.00/sh+69,020$759,220→ 630,109 total(indirect: Affiliated Company 1)
Exercise of In-Money
Warrants (right to buy)
2024-12-18−2,593,912→ 0 total
Exercise: $11.00From: 2024-07-03Exp: 2029-07-03→ Common Stock (2,593,912 underlying)
Exercise of In-Money
Warrants (right to buy)
2024-12-18−34,510→ 0 total(indirect: Affiliated Company 1)
Exercise: $11.00From: 2024-07-03Exp: 2029-07-03→ Common Stock (34,510 underlying)

Footnotes (5)

[F1]On December 18, 2024, the Reporting Person exercised warrants to purchase shares of the Issuer's common stock, at an exercise price of $11.00 per share.
[F2]Shares and Warrants held by Genius 24C Inc., of which the Reporting Person is the sole shareholder.
[F3]Shares and Warrants held by Blazon Corporation, of which the Reporting Person is the sole shareholder.
[F4]The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC.
[F5]Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions.

Documents

1 file

PULSE BIOSCIENCES, INC.

CIK 0001625101

Entity typeother