4//SEC Filing
SANUWAVE Health, Inc. 4
Accession 0001181431-14-013259
$SNWVCIK 0001417663operating
Filed
Mar 17, 8:00 PM ET
Accepted
Mar 18, 5:53 PM ET
Size
17.5 KB
Accession
0001181431-14-013259
Insider Transaction Report
Form 4
Richardson Kevin A II
10% Owner
Transactions
- Purchase
Common Stock, $0.001 par value
2014-03-17$0.50/sh+50,000$25,000→ 157,500 total - Purchase
Warrants
2014-03-17+37,500→ 37,500 totalExercise: $1.50From: 2014-03-17Exp: 2015-03-17→ Common Stock, $0.001 par value (37,500 underlying) - Purchase
Common Stock, $0.001 par value
2014-03-17$0.50/sh+50,000$25,000→ 157,500 total - Purchase
Warrants
2014-03-17+62,500→ 62,500 totalExercise: $0.50From: 2014-03-17Exp: 2019-03-17→ Common Stock, $0.001 par value (62,500 underlying) - Purchase
Warrants
2014-03-17+62,500→ 62,500 totalExercise: $0.50From: 2014-03-17Exp: 2019-03-17→ Common Stock, $0.001 par value (62,500 underlying) - Purchase
Warrants
2014-03-17+37,500→ 37,500 totalExercise: $1.50From: 2014-03-17Exp: 2015-03-17→ Common Stock, $0.001 par value (37,500 underlying)
Holdings
- 1,583,316
Common Stock, $0.001 par value
- 9,081,989(indirect: Footnote 3)
Common Stock, $0.001 par value
Footnotes (4)
- [F1]These securities are owned directly by the Zachary G. Richardson UTMA. Mr. Kevin Richardson is a joint holder and the trustee for the plan.
- [F2]These securities are owned directly by the Eleanor G. Richardson UTMA. Mr. Kevin Richardson is a joint holder and the trustee for the plan.
- [F3]These securities are owned directly by Prides Capital Fund I, L.P. Prides Capital Partners LLC is a general partner of Prides Capital Fund I, L.P. and Mr. Richardson is the controlling shareholder of Prides Capital Partners LLC; therefore, he may be deemed to be the beneficial owner of such securities. Mr. Richardson has also been deputized by Prides Capital Partners LLC to serve on the board of directors of the issuer. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), Mr. Richardson may be deemed to be the beneficial owner of an indeterminate portion of the securities of SANUWAVE Health, Inc. beneficially owned by Prides Capital Fund I, L.P. Mr. Richardson disclaims beneficial ownership of all such securities except to the extent of any indirect pecuniary interest (within the meaning of Rule 16a-1 of the Exchange Act) therein. This Form 4 shall not be deemed an admission that Mr. Richardson is a beneficial owner.
- [F4]These shares were purchased as part of a private placement "Unit" offering, whereby each Unit consists of: (i) one share of common stock, par value $0.001 per share;(ii) 125% coverage of a five-year common stock purchase warrant to purchase one share of common stock, at an exercise price of $0.50; and, (iii) 75% coverage of a one-year common stock purchase warrant to purchase one share of common stock, at an exercise price of $1.50.
Documents
Issuer
SANUWAVE Health, Inc.
CIK 0001417663
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0001417663
Filing Metadata
- Form type
- 4
- Filed
- Mar 17, 8:00 PM ET
- Accepted
- Mar 18, 5:53 PM ET
- Size
- 17.5 KB