Lux Amber, Corp.|4Nov 16, 11:54 AM ET

Lum Ernest K.F. 4

4 · Lux Amber, Corp. · Filed Nov 16, 2022

Insider Transaction Report

Form 4

Period: 2021-11-22

Lux Amber, Corp.LXAM

Lum Ernest K.F.

10% Owner

Transactions

Award
Common Stock purchase options
2021-12-22+30,000→ 530,000 total
Exercise: $0.25From: 2021-12-22Exp: 2031-12-22→ Common Stock (30,000 underlying)
Exercise/Conversion
Common Stock purchase options
2022-07-18−250,000→ 1,050,000 total
Exercise: $0.01From: 2017-06-22Exp: 2027-06-22→ Common Stock (250,000 underlying)
Exercise/Conversion
Common Stock purchase options
2022-01-10−150,000→ 380,000 total
Exercise: $0.25From: 2021-12-01Exp: 2031-12-01→ Common Stock (150,000 underlying)
Award
Common Stock purchase options
2021-12-01+150,000→ 500,000 total
Exercise: $0.25From: 2021-12-01Exp: 2031-12-01→ Common Stock (150,000 underlying)
Exercise/Conversion
Common Stock purchase options
2022-01-10−30,000→ 350,000 total
Exercise: $0.25From: 2021-12-22Exp: 2031-12-22→ Common Stock (30,000 underlying)
Exercise/Conversion
Common Stock
2022-07-18$0.01/sh+250,000$2,500→ 4,890,618 total
Exercise/Conversion
Common Stock
2022-07-21$0.03/sh+1,000,000$27,000→ 5,890,618 total
Sale
Common Stock
2022-11-08$0.75/sh−127,000$95,250→ 5,763,618 total
Other
Common Stock
2022-11-16+175,563→ 5,939,181 total
Exercise/Conversion
Common Stock
2022-01-10$0.25/sh+30,000$7,500→ 4,590,618 total
Exercise/Conversion
Common Stock
2022-01-10$0.25/sh+150,000$37,500→ 4,560,618 total
Exercise/Conversion
Common Stock
2022-07-18+50,000→ 4,640,618 total
Award
Common Stock purchase options
2021-11-22+50,000→ 350,000 total
Exercise: $0.25From: 2021-11-22Exp: 2031-11-22→ Common Stock (50,000 underlying)
Exercise/Conversion
Common Stock purchase options
2022-07-18−50,000→ 1,300,000 total
Exercise: $0.00From: 2017-03-01Exp: 2027-03-01→ Common Stock (50,000 underlying)
Exercise/Conversion
Common Stock purchase options
2022-07-21−1,000,000→ 50,000 total
Exercise: $0.03From: 2022-07-10Exp: 2032-07-10→ Common Stock (1,000,000 underlying)
Award
Common Stock purchase options
2022-07-10+1,000,000→ 1,350,000 total
Exercise: $0.03From: 2022-07-10Exp: 2032-07-10→ Common Stock (1,000,000 underlying)

Footnotes (6)

[F1]100% vested on the date of grant
[F2]100% vested on the date of grant
[F3]100% vested on the date of grant
[F4]100% vested on the date of grant
[F5]Pursuant to the beneficial ownership rules, these shares are deemed owned by Ernest Lum, by attribution from his daughter, who lives with him. The shares are held in the daughter's name, and were originally acquired by her via conversion of derivative securities.
[F6]Reference the footnote immediately above

Documents

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