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Fluent, Inc. — Director's Dealing 2024
May 16, 2024
34456_dirs_2024-05-15_8601f1a0-7977-48b9-8451-997f00485e3f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Fluent, Inc. (FLNT)
CIK: 0001460329
Period of Report: 2024-05-13
Reporting Person: FROST PHILLIP MD ET AL (10% Owner)
Reporting Person: Frost Gamma Investments Trust (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-05-13 | Pre-Funded Warrant | $0.0005 | A | 591017 | Acquired | Common Stock (591017) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3139147 | Indirect |
| Common Stock | 8334 | Direct |
Footnotes
F1: On April 11, 2024, the Issuer effected a 6-for-1 reverse stock split. The holding reported here reflects such reverse stock split.
F2: The Pre-Funded Warrants will be immediately exercisable after stockholder approval of the offering of the Issuer's Pre-Funded Warrants. The binding agreement for the transaction was entered into on May 13, 2024.
F3: The Pre-Funded Warrants will terminate when exercised in full.
F4: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is also the sole shareholder of Frost-Nevada Corporation. Dr. Frost is also the sole stockholder of Frost-Nevada Corporation. The reporting persons disclaim beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that any reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.