COSI INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-16: Reporting owner MILLER LLOYD I III; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-08-22: Reporting owner MILLER LLOYD I III; Form 4; Security Warrant; Transaction Holding.
- 2014-04-14: Reporting owner MILLER LLOYD I III; Form 4; Security Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2006-11-03: Reporting owner KORSANT PHILIP B | PBK HOLDINGS INC | ZAM HOLDINGS L P; Form 4/A; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-16 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | X Exercise of in-the-money or at-the-money derivative security | −1,100,000 0 owned after | $0.01 | 2014-09-16 | |
| 2014-08-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | 1,100,000 owned after | $0.01 exercise price | 2014-08-22 | |
| 2014-04-14 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | P Open market or private purchase of non-derivative or derivative security | +1,100,000 1,100,000 owned after | $0.01 exercise price | 2014-04-15 | |
| 2006-11-03 | KORSANT PHILIP B | PBK HOLDINGS INC | ZAM HOLDINGS L P 10% Owner | 10% Owner | 10% Owner | 4/A | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +40,024 439,710 owned after | $0.01 exercise price | 2006-11-07 |