ARI NETWORK SERVICES INC /WI Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-29: Reporting owner COOPER CHAD J.; Form 4; Security Common Stock Warrants; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-10-09: Reporting owner COOPER CHAD J.; Form 3; Security Common Stock Warrants; Transaction Holding.
- 2014-10-09: Reporting owner COOPER CHAD J.; Form 3; Security Common Stock Warrants; Transaction Holding.
- 2013-07-31: Reporting owner 12 West Capital Management LP; Form 3; Security Common Stock Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-08-29 | COOPER CHAD J. Director | 4 | Common Stock Warrants Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −28,200 0 owned after | $2.00 exercise price | 2017-08-31 | |
| 2014-10-09 holding as of filing | COOPER CHAD J. Director | 3 | Common Stock Warrants Derivative · Direct · (m) | Holding | $2.00 exercise price | 2014-10-09 | ||
| 2014-10-09 holding as of filing | COOPER CHAD J. Director | 3 | Common Stock Warrants Derivative · Indirect · (m) | Holding | $2.00 exercise price | 2014-10-09 | ||
| 2013-07-31 holding as of filing | 12 West Capital Management LP 10% Owner | 3 | Common Stock Warrants Derivative · Indirect · See footnotes | Holding | $1.80 exercise price | 2013-07-31 | ||
| 2013-07-30 | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +90,000 90,000 owned after | $1.80 exercise price | 2013-07-31 | |
| 2013-07-30 | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +143,100 143,100 owned after | $1.80 exercise price | 2013-07-31 | |
| 2013-07-30 | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +66,900 66,900 owned after | $1.80 exercise price | 2013-07-31 | |
| 2013-07-30 | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −90,000 0 owned after | $1.80 exercise price | 2013-07-31 | |
| 2013-07-30 | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −143,100 0 owned after | $1.80 exercise price | 2013-07-31 | |
| 2013-07-30 | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −66,900 0 owned after | $1.80 exercise price | 2013-07-31 | |
| 2013-07-29 | 12 West Capital Management LP 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See footnotes | X Exercise of in-the-money or at-the-money derivative security | −300,000 0 owned after | $1.80 | 2013-07-31 | |
| 2013-03-15 | Sifen Michael D. 10% Owner | 4 | Warrants Derivative · Indirect · Michael D. Sifen, Inc. | P Open market or private purchase of non-derivative or derivative security | +66,667 66,667 owned after | $2.00 exercise price | 2013-05-22 |