Filing Details
- Accession Number:
- 0001477932-25-002981
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2025-04-25 16:01:36
- Reporting Period:
- 2025-03-12
- Filing Date:
- 2025-04-25
- Accepted Time:
- 2025-04-25 16:01:36
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1775194 | Upexi Inc. | UPXI | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1279925 | Allan Marshall | 3030 North Rocky Point Drive Suite 420 Tampa FL 33607 | 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 | Acquisiton | 2025-04-17 | 657,895 | $2.28 | 809,318 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2025-04-17 | 75,000 | $0.00 | 884,318 | No | 4 | A | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | A | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Convertible Preferred Stock | Acquisiton | 2025-03-12 | 125,000 | $2.60 | 125,000 | $2.60 |
Common Stock | Warrants to purchase Common Stock | Acquisiton | 2025-04-17 | 500,000 | $0.00 | 500,000 | $2.28 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
125,000 | No | 4 | P | Direct | ||
500,000 | 2030-04-17 | No | 4 | A | Direct |
Footnotes
- The Reporting Person purchased these shares in a PIPE offering conducted by the Issuer. The shares are restricted securities subject to transfer restrictions under Rule 144 ofthe Securities Act until such time that they are registered pursuant to a registration statement or become eligible for resale otherwise.
- This award of the Shares is being made pursuant to the Issuer's Restricted Stock Award Agreement, subject to the following vesting schedule: 100% of the Shares vest on October 14, 2025. A portion of all of this award may be forfeited in the event of termination of employment.
- These Shares are convertible to Common Stock immediately.
- The Preferred Stock is perpetual and therefore has no expiration date.
- The warrants were awarded to the Reporting Person as compensation pursuant to his employment agreement. The warrants and the underlying shares are restrictedsecurities subject to Rule 144 of the Securities Act. The warrants are exercisable immediately until their expiration date.