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PULSE BIOSCIENCES, INC. — Director's Dealing 2024
Jul 9, 2024
32093_dirs_2024-07-09_286ca4b7-ae95-46ba-bea1-ecca6581758c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PULSE BIOSCIENCES, INC. (PLSE)
CIK: 0001625101
Period of Report: 2024-07-03
Reporting Person: DUGGAN ROBERT W (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-07-03 | Common Stock | X | 5187824 | — | Acquired | 42172003 | Direct |
| 2024-07-03 | Common Stock | X | 69020 | — | Acquired | 561089 | Indirect |
| 2024-07-03 | Common Stock | X | 49312 | — | Acquired | 400877 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-07-03 | Warrant (right to buy) | $11 | P | 2593912 | Acquired | 2029-07-03 | Common Stock (2593912) | Direct |
| 2024-07-03 | Warrant (right to buy) | $11 | P | 2593912 | Acquired | 2029-07-03 | Common Stock (2593912) | Direct |
| 2024-07-03 | Warrant (right to buy) | $11 | P | 34510 | Acquired | 2029-07-03 | Common Stock (34510) | Indirect |
| 2024-07-03 | Warrant (right to buy) | $11 | P | 34510 | Acquired | 2029-07-03 | Common Stock (34510) | Indirect |
| 2024-07-03 | Warrant (right to buy) | $11 | P | 24656 | Acquired | 2029-07-03 | Common Stock (24656) | Indirect |
| 2024-07-03 | Warrant (right to buy) | $11 | P | 24656 | Acquired | 2029-07-03 | Common Stock (24656) | Indirect |
Footnotes
F1: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC.
F2: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions.
F3: Shares and warrants are held by Genius 24C Inc., of which the Reporting Person is the sole shareholder.
F4: Shares and warrants are held by Blazon Corporation, of which the Reporting Person is the sole shareholder.