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4//SEC Filing

Broenniman Philip R 4

Accession 0001213900-21-045475

CIK 0001534154other
View on SEC.govCompany Profile

Filed

Aug 29, 8:00 PM ET

Accepted

Aug 30, 8:01 AM ET

Size

13.0 KB

Accession

0001213900-21-045475

Insider Transaction Report

Form 4
Period: 2021-08-26
Ipsidy Inc.AUID
Broenniman Philip R
DirectorPresident/COO
Transactions
  • Purchase

    Common Stock, $.0001 par value

    2021-08-26$7.00/sh+35,700$249,900→ 340,832 total(indirect: See footnote)
Holdings

  • Common Stock, $.0001 par value

    172,747

  • Stock Options

    Exercise: $7.20From: 2021-05-05Exp: 2031-05-05→ Common Stock, $0.0001 par value per share (588,744 underlying)
    588,744

  • Warrants

    (indirect: See Footnotes)
    Exercise: $4.50From: 2020-06-30Exp: 2022-06-30→ Common Stock, $0.0001 par value per share (30,972 underlying)
    30,972

  • Warrants

    Exercise: $4.95From: 2018-08-15Exp: 2023-08-15→ Common Stock, $0.0001 par value per share (11,667 underlying)
    11,667

  • Warrants

    Exercise: $2.64From: 2019-06-24Exp: 2024-06-23→ Common Stock, $0.0001 par value per share (8,750 underlying)
    8,750

  • Stock Options

    Exercise: $2.10From: 2020-05-22Exp: 2025-05-22→ Common Stock, $0.0001 par value per share (555,556 underlying)
    555,556
Footnotes (3)
  • [F1]Includes the right to acquire 50,000 shares of common stock at par value subject to the certain vesting criteria granted to Mr. Broenniman on March 6, 2020 pursuant to a Restricted Stock Purchase Agreement.
  • [F2]Mr. Broenniman is the Managing Partner of Varana Capital, LLC ("Varana Capital"), which, in turn, is the investment manager of and has dispositive control over the shares held by Varana Capital Focused, LP ("VCFLP"). By virtue of these relationships, in addition to the shares he holds personally, Mr. Broenniman may be deemed to beneficially own the shares held by Varana Capital Focused, LP.
  • [F3]On May 5, 2021, the Company granted Mr. Broenniman a Non-Statutory Option to acquire 588,744 shares of common stock at an exercise price of $7.20 per share with 5,410 shares vesting upon grant of Non-Statutory Option and 583,333 shares of common stock underlying the stock options vesting subject to various performance conditions.

Documents

1 file

Issuer

Ipsidy Inc.

CIK 0001534154

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Entity typeother

Related Parties

1
  • filerCIK 0001781770

Filing Metadata

Form type
4
Filed
Aug 29, 8:00 PM ET
Accepted
Aug 30, 8:01 AM ET
Size
13.0 KB
View on SEC.gov