4//SEC Filing
Nemelka David Nephi Jr. 4
Accession 0001503199-11-000001
CIK 0001417663other
Filed
Jan 31, 7:00 PM ET
Accepted
Feb 1, 2:56 PM ET
Size
18.2 KB
Accession
0001503199-11-000001
Insider Transaction Report
Form 4
Nemelka David Nephi Jr.
10% Owner
Transactions
- Exercise of In-Money
Common Stock, $0.001 Par
2011-01-31+300,000→ 605,000 total(indirect: By 401(k)) - Exercise of In-Money
Class D Common Stock Purchase Warrant (right to buy)
2011-01-31+300,000→ 350,000 total(indirect: By 401(k))Exercise: $2.00Exp: 2012-10-12→ Common Stock, $0.001 Par (300,000 underlying) - Exercise of In-Money
Common Stock, $0.001 Par
2011-01-31+386,252→ 839,259 total - Exercise of In-Money
Unit Purchase Option (right to buy)
2011-01-31−300,000→ 0 total(indirect: By 401(k))Exercise: $2.00Exp: 2011-01-31→ Common Stock, $0.001 Par, and Class D Warrant (300,000 underlying) - Exercise of In-Money
Class D Common Stock Purchase Warrant (right to buy)
2011-01-31+386,252→ 772,504 totalExercise: $2.00Exp: 2012-10-12→ Common Stock, $0.001 Par (386,252 underlying) - Exercise of In-Money
Unit Purchase Option (right to buy)
2011-01-31−386,252→ 0 totalExercise: $2.00Exp: 2011-01-31→ Common Stock, $0.001 Par, and Class D Warrant (386,252 underlying)
Holdings
- 46,264(indirect: By Corporation)
Common Stock, $0.001 Par
- 24,000(indirect: By Profit Sharing Plan)
Common Stock, $0.001 Par
Footnotes (3)
- [F1]The transaction involved the exercise by the reporting person of Unit Purchase Options which gave the reporting person the right to buy 386,252 Units for a purchase price of $2.00 per Unit. Each Unit consists of (i) one share of Common Stock, $0.001 par value, and (ii) one two-year Class D Common Stock Purchase Warrant to purchase one share of Common Stock at an exercise price of $2.00. The expiration date of the Unit Purchase Options was extended by the Issuer from 12-31-10 to 1-31-11.
- [F2]The transaction involved the exercise by the reporting person's Roth 401(k) of Unit Purchase Options which gave the reporting person's Roth 401(k) the right to buy 300,000 Units for a purchase price of $2.00 per Unit. Each Unit consists of (i) one share of Common Stock, $0.001 par value, and (ii) one two-year Class D Common Stock Purchase Warrant to purchase one share of Common Stock at an exercise price of $2.00. The expiration date of the Unit Purchase Options was extended by the Issuer from 12-31-10 to 1-31-11.
- [F3]Immediately.
Documents
Issuer
SANUWAVE Health, Inc.
CIK 0001417663
Entity typeother
Related Parties
1- filerCIK 0001503199
Filing Metadata
- Form type
- 4
- Filed
- Jan 31, 7:00 PM ET
- Accepted
- Feb 1, 2:56 PM ET
- Size
- 18.2 KB