Home > Insider Trading > Filing (0001415889-21-001613)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1134765	Charlie's Holdings Inc.	CHUC	Medicinal Chemicals & Botanical Products (2833)	841575085

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1775562	Brandon Stump	C/O Charlie'S Holdings, Inc. 1007 Brioso Drive Costa Mesa CA 92627	Chief Executive Officer	No	No	No	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	Disposition	2021-02-15	9,285,426,712	$0.00	93,792,177	No	4	G	Direct
Common Stock	Acquisiton	2021-02-15	9,285,426,712	$0.00	9,285,426,712	No	4	G	Indirect	By the Brandon Stump Legacy Trust
Common Stock	Disposition	2021-03-19	3,150,000,013	$0.00	6,135,426,699	No	4	S	Indirect	By the Brandon Stump Legacy Trust
Common Stock	Acquisiton	2021-03-22	246,189,918	$0.01	6,381,616,617	No	4	A	Indirect	By the Brandon Stump Legacy Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	G	Direct
No	4	G	Indirect	By the Brandon Stump Legacy Trust
No	4	S	Indirect	By the Brandon Stump Legacy Trust
No	4	A	Indirect	By the Brandon Stump Legacy Trust

Footnotes

On February 15, 2021, the Reporting Person transferred 9,285,426,712 shares of common stock to the Brandon Stump Legacy Trust, of which the reporting person is trustee. The Reporting Person and immediate family members are the sole beneficiaries of the trust.
The shares were sold in a private transaction consummated on March 19, 2021 at a price of $0.000833 per share.
The shares of common stock were purchased from the Issuer in a transaction approved by the Issuer's Board of Directors in accordance with Rule 16b-3(d)(1) of the Exchange Act (the "Act"), which purchase is exempt from Section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.