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| Share Name | Share Symbol | Market | Type |
|---|---|---|---|
| Sigma Labs Inc | NASDAQ:SGLB | NASDAQ | Common Stock |
| Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|---|---|
| 0.00 | 0.00% | 1.05 | 1.03 | 1.07 | 0 | 01:00:00 |
| 1. Name and Address of Reporting Person * Schwartz Carl I. | 2. Issuer Name and Ticker or Trading SymbolSIGMA LABS, INC. [SGLB] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Former 10% holder |
| 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) | ||
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person ___ Form Filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
| 1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Amount | (A) or (D) | Price | ||||||||
| Common Stock | 200000 (1) | D | ||||||||
| Common Stock | 40000 (1) | I | By Carl I. Schwartz Revocable Family Trust dtd 3/14/19 | |||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
| 1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||||
| Series E Convertible Preferred Stock | $10.30 (4) | 1/28/2020 | P4 | 266.67 | 1/28/2020 | (2) | Common Stock | 38835 (1) | $1500 | 266.67 | I | By Carl & Shirley Schwartz Trust | |||
| Warrants to Purchase Common Stock | $11.13 (4) | 1/28/2020 | P4 | 38835 | 7/26/2020 | 7/26/2025 | Common Stock | 38835 (1) | (3) | 38835 (1) | I | By Carl & Shirley Schwartz Trust | |||
| Reporting Owners | |||||
| Reporting Owner Name / Address | |||||
| Director | 10% Owner | Officer | Other | ||
| Schwartz Carl I. 3750 LAS VEGAS BLVD. SOUTH APT. 4303 LAS VEGAS, NV 89158 | Former 10% holder | ||||
| Signatures | ||
| /s/ Carl I. Schwartz, DDS | 2/9/2021 | |
| **Signature of Reporting Person | Date | |
1 Year Sigma Labs Chart |
1 Month Sigma Labs Chart |
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