Filing Details
- Accession Number:
- 0001179110-19-006589
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-23 17:25:52
- Reporting Period:
- 2019-05-07
- Accepted Time:
- 2019-05-23 17:25:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 788611 | Sigma Labs Inc. | SGLB | Miscellaneous Manufacturing Industries (3990) | 820404220 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1573354 | I. Carl Schwartz | 3750 Las Vegas Blvd. South Apt. 4303 Las Vegas NV 89158 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-05-07 | 400,000 | $1.40 | 400,000 | No | 4 | P | Indirect | By the Carl I. Schwartz Revocable Family Trust dtd 3/14/19 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By the Carl I. Schwartz Revocable Family Trust dtd 3/14/19 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrants to purchase Common Stock | Acquisiton | 2019-05-07 | 200,000 | $0.00 | 200,000 | $1.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 200,000 | 2019-11-08 | 2024-11-08 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,500,000 | Direct |
Footnotes
- Purchase price included 200,000 Warrants reported on table II.
- Warrant contains a Beneficial Ownership Limitation provision that does not permit an exercise if it would result in the holder owning more than 4.99% of the outstanding shares of the Issuer. These limits may be increased up to 9.99% upon notice to the Issuer.
Billionaire Hedge Funds
