DAEGIS INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows, 25 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-09-01: Reporting owner Carmignani Donald R; Form 4; Security Subordinated Purchase Note; Transaction C Conversion of derivative security.
- 2010-09-01: Reporting owner Carmignani Donald R; Form 4; Security Subordinated Indemnity Note; Transaction C Conversion of derivative security.
- 2010-09-01: Reporting owner Jensen Kurt A | Jensen Carolyn L | Dated January 25, 2007 The Jensen Revocable Trust; Form 4; Security Subordinated Purchase Note; Transaction C Conversion of derivative security.
- 2010-09-01: Reporting owner Jensen Kurt A | Jensen Carolyn L | Dated January 25, 2007 The Jensen Revocable Trust; Form 4; Security Subordinated Indemnity Note; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-09-01 | Carmignani Donald R 10% Owner | 4 | Subordinated Purchase Note Derivative · Direct | C Conversion of derivative security | $3.50 exercise price | 2010-09-03 | ||
| 2010-09-01 | Carmignani Donald R 10% Owner | 4 | Subordinated Indemnity Note Derivative · Direct | C Conversion of derivative security | $3.50 exercise price | 2010-09-03 | ||
| 2010-09-01 | Jensen Kurt A | Jensen Carolyn L | Dated January 25, 2007 The Jensen Revocable Trust Officer (Chief Operating Officer), 10% Owner | 10% Owner | 10% Owner | 4 | Subordinated Purchase Note Derivative · Indirect · By Trust | C Conversion of derivative security | 0 owned after | $3.50 exercise price | 2010-09-03 | |
| 2010-09-01 | Jensen Kurt A | Jensen Carolyn L | Dated January 25, 2007 The Jensen Revocable Trust Officer (Chief Operating Officer), 10% Owner | 10% Owner | 10% Owner | 4 | Subordinated Indemnity Note Derivative · Indirect · By Trust | C Conversion of derivative security | $3.50 exercise price | 2010-09-03 | ||
| 2010-07-09 holding as of filing | Carmignani Donald R 10% Owner | 3 | Subordinated Purchase Note Derivative · Direct | Holding | no price filed | 2010-07-09 | ||
| 2010-07-09 holding as of filing | Carmignani Donald R 10% Owner | 3 | Subordinated Indemnity Note Derivative · Direct | Holding | no price filed | 2010-07-09 | ||
| 2010-07-01 holding as of filing | Dated January 25, 2007 The Jensen Revocable Trust | Jensen Kurt A | Jensen Carolyn L 10% Owner | Officer, 10% Owner | 10% Owner | 3 | Subordinated Purchase Note Derivative · Direct | Holding | no price filed | 2010-07-01 | ||
| 2010-07-01 holding as of filing | Dated January 25, 2007 The Jensen Revocable Trust | Jensen Kurt A | Jensen Carolyn L 10% Owner | Officer, 10% Owner | 10% Owner | 3 | Subordinated Indemnity Note Derivative · Direct | Holding | no price filed | 2010-07-01 | ||
| 2010-06-29 | Jensen Kurt A Officer (Chief Operating Officer), 10% Owner | 4 | Subordinated Purchase Note Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | 2,588,192 owned after | no price filed | 2010-07-01 | |
| 2010-06-29 | Jensen Kurt A Officer (Chief Operating Officer), 10% Owner | 4 | Subordinated Indemnity Note Derivative · Indirect · By Trust | P Open market or private purchase of non-derivative or derivative security | no price filed | 2010-07-01 | ||
| 2007-12-03 | FALK MICHAEL | ComVest Capital, LLC | COMVEST CAPITAL MANAGEMENT LLC | ComVest Group Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Convertible Term Note Derivative · Direct | C Conversion of derivative security | −127,000 225,857 owned after | $5.00 | 2008-02-14 | |
| 2007-12-03 | COMVEST CAPITAL MANAGEMENT LLC | ComVest Group Holdings, LLC | ComVest Capital, LLC | FALK MICHAEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Convertible Term Note Derivative · Direct | C Conversion of derivative security | −127,000 225,857 owned after | $5.00 | 2007-12-04 | |
| 2007-11-01 | ComVest Capital, LLC 10% Owner | 4 | Convertible Term Note Derivative · Direct | C Conversion of derivative security | −32,400 99,600 owned after | $5.00 | 2007-11-13 | |
| 2007-10-22 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Convertible Bonds Derivative · Indirect · By Limited Partnerships | C Conversion of derivative security | −338,286 1,521,829 owned after | $2.50 | 2007-11-15 | |
| 2007-10-18 holding as of filing | ComVest Capital, LLC | ComVest Group Holdings, LLC | COMVEST CAPITAL MANAGEMENT LLC | FALK MICHAEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Convertible Term Note Derivative · Direct | Holding | $2.50 exercise price | 2007-10-18 | ||
| 2007-10-18 holding as of filing | ComVest Capital, LLC | ComVest Group Holdings, LLC | COMVEST CAPITAL MANAGEMENT LLC | FALK MICHAEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Convertible Term Note Derivative · Direct | Holding | $5.00 exercise price | 2007-10-18 | ||
| 2007-10-18 holding as of filing | ComVest Capital, LLC | ComVest Group Holdings, LLC | COMVEST CAPITAL MANAGEMENT LLC | FALK MICHAEL 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Convertible Term Note Derivative · Direct | Holding | $5.00 exercise price | 2007-10-18 | ||
| 2007-10-15 holding as of filing | ComVest Capital, LLC | FALK MICHAEL | ComVest Group Holdings, LLC | COMVEST CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Convertible Term Note Derivative · Direct | Holding | $2.50 exercise price | 2007-10-15 | ||
| 2007-10-15 holding as of filing | ComVest Capital, LLC | FALK MICHAEL | ComVest Group Holdings, LLC | COMVEST CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Convertible Term Note Derivative · Direct | Holding | $5.00 exercise price | 2007-10-15 | ||
| 2007-10-15 holding as of filing | ComVest Capital, LLC | FALK MICHAEL | ComVest Group Holdings, LLC | COMVEST CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Convertible Term Note Derivative · Direct | Holding | $5.00 exercise price | 2007-10-15 | ||
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Corporate Bond Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +384,000 384,000 owned after | $11.25 | 2007-01-09 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Corporate Bond Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +1,248,000 1,632,000 owned after | $11.25 | 2007-01-09 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Corporate Bond Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +422,400 2,054,400 owned after | $11.25 | 2007-01-09 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Corporate Bond Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +384,000 384,000 owned after | $11.25 | 2006-12-13 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Corporate Bond Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +1,248,000 1,632,000 owned after | $11.25 | 2006-12-13 |