4//SEC Filing
Ullrich Peter 4
Accession 0001144204-09-046444
CIK 0001170816other
Filed
Aug 30, 8:00 PM ET
Accepted
Aug 31, 3:02 PM ET
Size
10.7 KB
Accession
0001144204-09-046444
Insider Transaction Report
Form 4
EAU TECHNOLOGIES, INC.EAUI.OB
Ullrich Peter
Director10% Owner
Transactions
- Award
Convertible Promissory Note
2009-08-27+3,000,000→ 3,000,000 total(indirect: By LLC)Exercise: $1.00From: 2008-10-06Exp: 2010-11-01→ Common Stock (3,000,000 underlying) - Award
10% Convertible Note due November 2010
2009-08-27+600,000→ 600,000 totalExercise: $1.00From: 2009-09-01Exp: 2010-11-10→ Common Stock (600,000 underlying)
Holdings
- 3,515,769
Common Stock, $.0001 par value per share
- 7,330,770(indirect: By LLC)
Common Stock, $.0001 par value per share
Footnotes (2)
- [F1]On August 27, 2009, the Reporting Person and EAU Technologies, Inc. (the "Company") entered into that certain $600,000 Loan Agreement (the "Loan Agreement"). The Loan Agreement requires, among other things, that the Reporting Person lend the Company the sum of $600,000 which amount shall be funded by the Reporting Person in three equal installments of $200,000 on each of September 15, 2009, October 15, 2009 and November 15, 2009. Pursuant to the Loan Agreement, all outstanding amounts of principal and interest due under the Loan Agreement are convertible, at the option of the Reporting Person, into shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $1.00 per share, subject to adjustment.
- [F2]That certain Second Amended and Restated Senior Secured Convertible Promissory Note dated October 6, 2008 (the "Convertible Promissory Note"), issued by the Company for the benefit of Water Science, LLC, was amended by the Second Amendment to the Convertible Promissory Note dated August 27, 2009 (the "Second Amendment"), by extending the maturity date of the Convertible Promissory Note from September 16, 2009 until November 1, 2010. The Second Amendment extends the maturity date of the Convertible Promissory Note as previously extended by the First Amendment to the Convertible Promissory Note dated March 10, 2009, which originally amended the Convertible Promissory Note by extending its maturity date to September 16, 2009.
Documents
Issuer
EAU TECHNOLOGIES, INC.
CIK 0001170816
Entity typeother
Related Parties
1- filerCIK 0001361751
Filing Metadata
- Form type
- 4
- Filed
- Aug 30, 8:00 PM ET
- Accepted
- Aug 31, 3:02 PM ET
- Size
- 10.7 KB