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Genasys Inc. — Director's Dealing 2011
Feb 8, 2011
34184_dirs_2011-02-08_1ae47916-2afb-4890-b0b8-21da3b6a911c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: LRAD Corp (LRAD)
CIK: 0000924383
Period of Report: 2011-02-04
Reporting Person: MARXE AUSTIN W & GREENHOUSE DAVID M (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-04 | Common Stock | J | 788090 | $2.67 | Acquired | 3985271 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-04 | Warrants | $2.67 | J | 788090 | Disposed | 2011-02-06 | Common Stock (788090) | Indirect |
| 2011-02-04 | Warrants | $2.67 | J | 788090 | Acquired | 2016-02-04 | Common Stock (788090) | Indirect |
Footnotes
F1: This is a joint filing by Austin W. Marxe (Marxe) & David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Private Equity Fund, L.P. (PE), Special Situations Technology Fund, LP (Tech) & Special Situations Technology II, Fund, L.P. (Tech II), respectively. 1,832,257 shares of Common Stock are held by QP, 612,989 shares of Common Stock are held by PE, 213,423 shares of Common Stock are held by Tech and 1,326,602 shares of Common Stock are held by Tech II. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, PE, Tech, and Tech II is limited to the extent of his pecuniary interest.
F2: The Funds exercised their warrants in exchange for common shares and warrants to purchase common shares at $2.67.
F3: This is a joint filing by Austin W. Marxe (Marxe) & David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Private Equity Fund, L.P. (PE), Special Situations Technology Fund, LP (Tech) & Special Situations Technology II, Fund, L.P. (Tech II), respectively. 372,466 Warrants are held by QP, 102,564 Warrants are held by PE, 43,385 Warrants are held by Tech & 269,675 Warrants are held by Tech II. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, PE, Tech, and Tech II is limited to the extent of his pecuniary interest.