COSI INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-09: Reporting owner Janus Capital Institutional Advisors | PLAISANCE FUND LP; Form 4/A; Security Subscription Right (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-12-09: Reporting owner Janus Capital Institutional Advisors | PLAISANCE FUND LP; Form 4; Security Subscription Right (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-12-09: Reporting owner MILLER LLOYD I III; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-12-09: Reporting owner MILLER LLOYD I III; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-09 | Janus Capital Institutional Advisors | PLAISANCE FUND LP 10% Owner | 10% Owner | 4/A | Subscription Right (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,733,488 0 owned after | $1.50 exercise price | 2015-01-02 | |
| 2014-12-09 | Janus Capital Institutional Advisors | PLAISANCE FUND LP 10% Owner | 10% Owner | 4 | Subscription Right (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,999,819 0 owned after | $1.50 exercise price | 2014-12-18 | |
| 2014-12-09 | MILLER LLOYD I III 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −103,256 0 owned after | $1.50 exercise price | 2014-12-11 | |
| 2014-12-09 | MILLER LLOYD I III 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −340,403 0 owned after | $1.50 exercise price | 2014-12-11 | |
| 2014-12-09 | MILLER LLOYD I III 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −83,360 0 owned after | $1.50 exercise price | 2014-12-11 | |
| 2014-12-09 | MILLER LLOYD I III 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −77,262 0 owned after | $1.50 exercise price | 2014-12-11 | |
| 2014-12-09 | MILLER LLOYD I III 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −6,936 0 owned after | $1.50 exercise price | 2014-12-11 | |
| 2014-12-09 | MILLER LLOYD I III 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −600,000 0 owned after | $1.50 exercise price | 2014-12-11 | |
| 2010-01-06 | JUVONEN RONALD 10% Owner | 4 | Subscription Rights (right to buy) Derivative · Indirect · By partnerships and limited liability company | X Exercise of in-the-money or at-the-money derivative security | +4,353,952 0 owned after | $0.50 exercise price | 2010-01-08 | |
| 2007-12-21 holding as of filing | Okamoto Karl Director | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2007-12-21 | |
| 2006-05-15 | ARMSTRONG KEVIN Director, Officer (CEO and PRESIDENT) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 574,012 owned after | $1.77 exercise price | 2006-05-24 |