Filing Details
- Accession Number:
- 0001824982-22-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-11-16 11:54:16
- Reporting Period:
- 2021-11-22
- Accepted Time:
- 2022-11-16 11:54:16
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1740695 | Lux Amber Corp. | LXAM | Industrial Organic Chemicals (2860) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1824982 | K.f. Ernest Lum | 371 Hostdale Drive Dothan AL 36303 | Yes | 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 | 2022-01-10 | 150,000 | $0.25 | 4,560,618 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-01-10 | 30,000 | $0.25 | 4,590,618 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-18 | 50,000 | $0.00 | 4,640,618 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-18 | 250,000 | $0.01 | 4,890,618 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2022-07-21 | 1,000,000 | $0.03 | 5,890,618 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-11-08 | 127,000 | $0.75 | 5,763,618 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-11-16 | 175,563 | $0.00 | 5,939,181 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock purchase options | Acquisiton | 2021-11-22 | 50,000 | $0.00 | 50,000 | $0.25 |
| Common Stock | Common Stock purchase options | Acquisiton | 2021-12-01 | 150,000 | $0.00 | 150,000 | $0.25 |
| Common Stock | Common Stock purchase options | Acquisiton | 2021-12-22 | 30,000 | $0.00 | 30,000 | $0.25 |
| Common Stock | Common Stock purchase options | Disposition | 2022-01-10 | 150,000 | $0.00 | 150,000 | $0.25 |
| Common Stock | Common Stock purchase options | Disposition | 2022-01-10 | 30,000 | $0.00 | 30,000 | $0.25 |
| Common Stock | Common Stock purchase options | Disposition | 2022-07-18 | 50,000 | $0.00 | 50,000 | $0.00 |
| Common Stock | Common Stock purchase options | Disposition | 2022-07-18 | 250,000 | $0.00 | 250,000 | $0.01 |
| Common Stock | Common Stock purchase options | Acquisiton | 2022-07-10 | 1,000,000 | $0.00 | 1,000,000 | $0.03 |
| Common Stock | Common Stock purchase options | Disposition | 2022-07-21 | 1,000,000 | $0.00 | 1,000,000 | $0.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 350,000 | 2021-11-22 | 2031-11-22 | No | 4 | A | Direct |
| 500,000 | 2021-12-01 | 2031-12-01 | No | 4 | A | Direct |
| 530,000 | 2021-12-22 | 2031-12-22 | No | 4 | A | Direct |
| 380,000 | 2021-12-01 | 2031-12-01 | No | 4 | M | Direct |
| 350,000 | 2021-12-22 | 2031-12-22 | No | 4 | M | Direct |
| 1,300,000 | 2017-03-01 | 2027-03-01 | No | 4 | M | Direct |
| 1,050,000 | 2017-06-22 | 2027-06-22 | No | 4 | M | Direct |
| 1,350,000 | 2022-07-10 | 2032-07-10 | No | 4 | A | Direct |
| 50,000 | 2022-07-10 | 2032-07-10 | No | 4 | M | Direct |
Footnotes
- 100% vested on the date of grant
- 100% vested on the date of grant
- 100% vested on the date of grant
- 100% vested on the date of grant
- Pursuant to the beneficial ownership rules, these shares are deemed owned by Ernest Lum, by attribution from his daughter, who lives with him. The shares are held in the daughter's name, and were originally acquired by her via conversion of derivative securities.
- Reference the footnote immediately above
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