4//SEC Filing
PSM HOLDINGS INC 4
Accession 0001441557-16-000069
CIK 0001362180operating
Filed
Apr 7, 8:00 PM ET
Accepted
Apr 8, 5:48 PM ET
Size
19.9 KB
Accession
0001441557-16-000069
Insider Transaction Report
Form 4
PSM HOLDINGS INCPSMH
GADAWSKI KEVIN J.
DirectorPresident & CFO
Transactions
- Award
Warrants
2016-04-06+1,400,000→ 2,362,680 totalExercise: $0.01From: 2014-12-15Exp: 2019-12-15→ Common Stock (1,400,000 underlying) - Purchase
Warrants
2016-04-06+4,000→ 321,870 totalExercise: $0.04From: 2014-02-13Exp: 2019-02-13→ Common Stock (4,000 underlying) - Award
Warrants
2016-04-06+621,000→ 2,983,680 totalExercise: $0.01From: 2016-04-06Exp: 2021-04-16→ Common Stock (621,000 underlying) - Award
Warrants
2016-04-06+640,810→ 962,680 totalExercise: $0.04From: 2014-04-01Exp: 2019-04-01→ Common Stock (640,810 underlying) - Award
Warrants
2016-04-06+317,870→ 317,870 totalExercise: $0.04From: 2014-02-05Exp: 2018-02-05→ Common Stock (317,870 underlying)
Holdings
- 26,494
Common Stock
- 1,250,000
Options
Exercise: $0.10From: 2015-04-16Exp: 2017-04-16→ Common Stock (1,250,000 underlying) - 2,350,000
Options
Exercise: $0.04From: 2016-02-12Exp: 2019-02-11→ Common Stock (1,100,000 underlying) - 12,350,000
Options
Exercise: $0.04From: 2016-03-31Exp: 2019-03-31→ Common Stock (10,000,000 underlying)
Footnotes (9)
- [F1]On April 6, 2016, the Company issued 862.5 Series E Preferred Shares with a conversion price of $0.01 which triggered an adjustment to the conversion price pursuant to the warrant agreement.
- [F2]On April 6, 2016, the Company issued 862.5 Series E Preferred Shares with a conversion price of $0.01 which triggered an adjustment to the conversion price pursuant to the warrant agreement.
- [F3]Received warrants pursuant to the Bridge Loan Agreement dated 2/10/14.
- [F4]Received warrants pursuant to the Stock Purchase Agreement dated 4/1/14 in connection with the Series C & D transaction.
- [F5]The options are subject to the following vesting requirements: one-third shall vest on April 16, 2015, one-third shall vest on April 16, 2016; and the remaining one-third shall vest on April 16, 2017.
- [F6]Received warrants pursuant to the Stock Purchase Agreement dated 12/15/15 in connection with the First Series E transaction.
- [F7]The options are subject to the following vesting requirements: one-third shall vest on February 12, 2016, one-third shall vest on February 12, 2017; and the remaining one-third shall vest on February 12, 2018.
- [F8]The options are subject to the following vesting requirements: one-third at 5:00 pm Pacific Time on March 31, 2016; one-third at 5:00 pm Pacific Time on March 31, 2017; and one-third at 5:00 pm Pacific Time on March 31, 2018.
- [F9]Received warrants pursuant to the Stock Purchase Agreement dated 4/6/16 in connection with the Second Series E transaction.
Documents
Issuer
PSM HOLDINGS INC
CIK 0001362180
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001362180
Filing Metadata
- Form type
- 4
- Filed
- Apr 7, 8:00 PM ET
- Accepted
- Apr 8, 5:48 PM ET
- Size
- 19.9 KB