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4//SEC Filing

Broenniman Philip R 4

Accession 0001213900-21-057713

CIK 0001534154other
View on SEC.govCompany Profile

Filed

Nov 8, 7:00 PM ET

Accepted

Nov 9, 4:05 PM ET

Size

12.9 KB

Accession

0001213900-21-057713

Insider Transaction Report

Form 4
Period: 2021-11-05
Ipsidy Inc.AUID
Broenniman Philip R
DirectorPresident/COO
Transactions
  • Disposition to Issuer

    Stock Options

    2021-11-05−200,000→ 388,744 total
    Exercise: $7.20From: 2021-05-05Exp: 2031-05-05→ Common Stock, $0.0001 par value per share (388,744 underlying)
Holdings

  • 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

  • Stock Options

    Exercise: $2.10From: 2020-05-22Exp: 2025-05-22→ Common Stock, $0.0001 par value per share (555,556 underlying)
    555,556

  • Common Stock, $.0001 par value

    172,747

  • Common Stock, $.0001 par value

    (indirect: See footnote)
    340,832

  • Warrants

    Exercise: $2.64From: 2019-06-24Exp: 2024-06-23→ Common Stock, $0.0001 par value per share (8,750 underlying)
    8,750
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 November 5, 2021, the Company and Mr. Broenniman entered into a letter agreement pursuant to which Mr. Broenniman agreed to cancel 200,000 shares of common stock under the Non-Statutory Option dated May 5, 2021 in consideration of removing certain service conditions.

Documents

1 file

Issuer

Ipsidy Inc.

CIK 0001534154

→
Entity typeother

Related Parties

1
  • filerCIK 0001781770

Filing Metadata

Form type
4
Filed
Nov 8, 7:00 PM ET
Accepted
Nov 9, 4:05 PM ET
Size
12.9 KB
View on SEC.gov