Walsh Lisa J 4

Accession 0001144204-19-047817

CIK 0001682149other

View on SEC.gov Company Profile

Filed

Oct 8, 8:00 PM ET

Accepted

Oct 9, 8:59 PM ET

Size

66.9 KB

Accession

0001144204-19-047817

Insider Transaction Report

Form 4

Period: 2019-10-07

Summit Wireless Technologies, Inc.WISA

Walsh Lisa J

10% Owner

Transactions

Expiration (Short)
Warrants (right to buy)
2019-10-07−722,222→ 0 total
Exercise: $3.60From: 2017-11-30Exp: 2022-11-30→ Common Stock (722,222 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−56,209→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2023-02-28→ Common Stock (56,209 underlying)
Exercise of In-Money
Common Stock
2019-10-07$0.80/sh+519,827$415,862→ 4,602,346 total
Purchase
Warrants (right to buy)
2019-10-07+23,529→ 23,529 total
Exercise: $0.79From: 2019-10-07Exp: 2022-07-14→ Common Stock (23,529 underlying)
Expiration (Short)
Warrants (right to buy)
2019-10-07−112,419→ 0 total
Exercise: $5.40From: 2018-02-28Exp: 2023-02-28→ Common Stock (112,419 underlying)
Expiration (Short)
Warrants (right to buy)
2019-10-07−65,360→ 0 total
Exercise: $5.40From: 2016-11-18Exp: 2021-11-18→ Common Stock (65,360 underlying)
Purchase
Warrants (right to buy)
2019-10-07+32,680→ 32,680 total
Exercise: $0.80From: 2019-10-07Exp: 2021-11-18→ Common Stock (32,680 underlying)
Expiration (Short)
Warrants (right to buy)
2019-10-07−47,059→ 0 total
Exercise: $5.40From: 2017-07-14Exp: 2022-07-14→ Common Stock (47,059 underlying)
Purchase
Warrants (right to buy)
2019-10-07+361,111→ 361,111 total
Exercise: $0.79From: 2019-10-07Exp: 2022-11-30→ Common Stock (361,111 underlying)
Purchase
Warrants (right to buy)
2019-10-07+56,210→ 56,210 total
Exercise: $0.79From: 2019-10-07Exp: 2023-02-28→ Common Stock (56,210 underlying)
Expiration (Short)
Warrants (right to buy)
2019-10-07−4,908→ 0 total
Exercise: $3.00From: 2018-05-10Exp: 2023-05-10→ Common Stock (4,908 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−2,454→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2023-05-10→ Common Stock (2,454 underlying)
Purchase
Warrants (right to buy)
2019-10-07+9,121→ 9,121 total
Exercise: $0.80From: 2019-10-07Exp: 2023-05-14→ Common Stock (9,121 underlying)
Expiration (Short)
Warrants (right to buy)
2019-10-07−69,444→ 0 total
Exercise: $3.00From: 2018-07-20Exp: 2023-07-20→ Common Stock (69,444 underlying)
Purchase
Warrants (right to buy)
2019-10-07+361,111→ 361,111 total
Exercise: $0.80From: 2019-10-07Exp: 2022-11-30→ Common Stock (361,111 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−361,111→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2022-11-30→ Common Stock (361,111 underlying)
Purchase
Warrants (right to buy)
2019-10-07+23,530→ 23,530 total
Exercise: $0.80From: 2019-10-07Exp: 2022-07-14→ Common Stock (23,530 underlying)
Purchase
Warrants (right to buy)
2019-10-07+9,121→ 9,121 total
Exercise: $0.79From: 2019-10-07Exp: 2023-05-14→ Common Stock (9,121 underlying)
Purchase
Warrants (right to buy)
2019-10-07+34,722→ 34,722 total
Exercise: $0.80From: 2019-10-07Exp: 2023-07-20→ Common Stock (34,722 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−23,530→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2022-07-14→ Common Stock (23,530 underlying)
Purchase
Warrants (right to buy)
2019-10-07+56,209→ 56,209 total
Exercise: $0.80From: 2019-10-07Exp: 2023-02-28→ Common Stock (56,209 underlying)
Purchase
Warrants (right to buy)
2019-10-07+2,454→ 2,454 total
Exercise: $0.80From: 2019-10-07Exp: 2023-05-10→ Common Stock (2,454 underlying)
Purchase
Warrants (right to buy)
2019-10-07+2,454→ 2,454 total
Exercise: $0.79From: 2019-10-07Exp: 2023-05-10→ Common Stock (2,454 underlying)
Expiration (Short)
Warrants (right to buy)
2019-10-07−18,242→ 0 total
Exercise: $3.00From: 2018-05-14Exp: 2023-05-14→ Common Stock (18,242 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−9,121→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2023-05-14→ Common Stock (9,121 underlying)
Purchase
Warrants (right to buy)
2019-10-07+34,722→ 34,722 total
Exercise: $0.79From: 2019-10-07Exp: 2023-07-20→ Common Stock (34,722 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−34,722→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2023-07-20→ Common Stock (34,722 underlying)
Purchase
Warrants (right to buy)
2019-10-07+32,680→ 32,680 total
Exercise: $0.79From: 2019-10-07Exp: 2021-11-18→ Common Stock (32,680 underlying)
Exercise of In-Money
Warrants (right to buy)
2019-10-07−32,680→ 0 total
Exercise: $0.80From: 2019-10-07Exp: 2021-11-18→ Common Stock (32,680 underlying)

Footnotes (8)

[F1]Represents the aggregate number of outstanding shares of common stock of the issuer received upon the reporting person's exercise of all common stock purchase warrants of the issuer (the "Warrant") reported in Table II above at $0.80 per share on October 7, 2019.
[F2]Includes an additional 1 share of common stock of the issuer that was omitted in the reporting person's Form 3 that was filed on July 31, 2018 due to an inadvertent administrative error.
[F3]Such transactions reported in Table II above reflect an amendment of a Warrant to reduce the exercise price of the Warrant from $5.40 per share to $0.80 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.
[F4]Such transactions reported in Table II above reflect an amendment of a Warrant to reduce the exercise price of the Warrant from $5.40 per share to $0.79 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.
[F5]Such transactions reported in Table II above reflect an amendment of an outstanding Warrant to reduce the exercise price of the Warrant from $3.60 per share to $0.80 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.
[F6]Such transactions reported in Table II above reflect an amendment of an outstanding Warrant to reduce the exercise price of the Warrant from $3.60 per share to $0.79 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.
[F7]Such transactions reported in Table II above reflect an amendment of an outstanding Warrant to reduce the exercise price of the Warrant from $3.00 per share to $0.80 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.
[F8]Such transactions reported in Table II above reflect an amendment of an outstanding Warrant to reduce the exercise price of the Warrant from $3.00 per share to $0.79 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.

Documents

1 file

4
tv530899_4.xmlPrimary
OWNERSHIP DOCUMENT

Issuer

Summit Wireless Technologies, Inc.

CIK 0001682149

→

Entity typeother

Related Parties

filerCIK 0001748535

Filing Metadata

Form type: 4
Filed: Oct 8, 8:00 PM ET
Accepted: Oct 9, 8:59 PM ET
Size: 66.9 KB

View on SEC.gov