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4//SEC Filing

Broenniman Philip R 4

Accession 0001213900-22-014524

CIK 0001534154other
View on SEC.govCompany Profile

Filed

Mar 22, 8:00 PM ET

Accepted

Mar 23, 5:00 PM ET

Size

19.8 KB

Accession

0001213900-22-014524

Insider Transaction Report

Form 4
Period: 2022-03-21
Ipsidy Inc.AUID
Broenniman Philip R
DirectorPresident/COO
Transactions
  • Award

    Common Stock, $.0001 par value

    2022-03-21$3.22/sh+311$1,001→ 173,058 total
  • Award

    Common Stock, $.0001 par value

    2022-03-21$3.22/sh+3,106$10,001→ 343,938 total(indirect: See footnote)
  • Award

    Senior Secured Convertible Note

    2022-03-21$1000000.00/sh+270,270$270,270,000,000→ 270,270 total(indirect: See Footnotes)
    Exercise: $3.70From: 2022-03-21Exp: 2025-03-21→ Common Stock, $0.0001 par value per share (270,270 underlying)
  • Award

    Senior Secured Convertible Note

    2022-03-21$100000.00/sh+27,027$2,702,700,000→ 27,027 total
    Exercise: $3.70From: 2022-03-21Exp: 2025-03-21→ Common Stock, $0.0001 par value per share (27,027 underlying)
Holdings

  • Stock Options

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

  • Stock Options

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

  • 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: $15.16From: 2021-12-29Exp: 2031-12-29→ Common Stock, $0.0001 par value per share (10,238 underlying)
    10,238

  • 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
Footnotes (4)
  • [F1]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.
  • [F2]The shares vest monthly in equal amounts over a one-year period.
  • [F3]383,334 of the shares vest upon meeting performance criteria.
  • [F4]Upon acquiring the Senior Secured Convertible Note, the reporting person was issued an origination fee in shares of common stock equal to 1.0% of the original principal amount of the reporting person's Senior Secured Convertible Notes with the value of each such share being the arithmetic average of the volume weighted average price of the Common Stock for each of the ten trading days immediately preceding the effective date.

Documents

1 file

Issuer

Ipsidy Inc.

CIK 0001534154

→
Entity typeother

Related Parties

1
  • filerCIK 0001781770

Filing Metadata

Form type
4
Filed
Mar 22, 8:00 PM ET
Accepted
Mar 23, 5:00 PM ET
Size
19.8 KB
View on SEC.gov