DAEGIS INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-10-31: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2012-10-31: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2012-10-31: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2009-04-28: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4/A; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-10-31 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | −384,000 0 owned after | $0.27 exercise price | 2012-11-05 | |
| 2012-10-31 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | −518,000 0 owned after | $0.32 exercise price | 2012-11-05 | |
| 2012-10-31 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | −384,000 0 owned after | $0.38 exercise price | 2012-11-05 | |
| 2009-04-28 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Warrants Derivative · Indirect · By Limited Partnerships | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,178,646 0 owned after | $2.50 | 2009-05-11 | |
| 2009-04-28 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | +190,182 190,182 owned after | $2.75 | 2009-05-11 | |
| 2009-04-28 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,178,646 0 owned after | $2.50 | 2009-04-30 | |
| 2007-11-01 | ComVest Capital, LLC 10% Owner | 4 | Warrant Derivative · Direct | C Conversion of derivative security | −120,000 0 owned after | $1.35 | 2007-11-13 | |
| 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 | Warrants Derivative · Direct | Holding | $1.35 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 | Warrants Derivative · Direct | Holding | $1.60 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 | Warrants Derivative · Direct | Holding | $1.90 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 | Warrants Derivative · Direct | Holding | $1.35 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 | Warrants Derivative · Direct | Holding | $1.60 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 | Warrants Derivative · Direct | Holding | $1.90 exercise price | 2007-10-15 | ||
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +384,000 2,562,646 owned after | $0.27 exercise price | 2007-01-09 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +518,400 3,081,046 owned after | $0.32 exercise price | 2007-01-09 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4/A | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +384,000 3,465,046 owned after | $0.38 exercise price | 2007-01-09 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +384,000 2,562,646 owned after | $0.27 exercise price | 2006-12-13 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +518,400 3,081,046 owned after | $0.32 exercise price | 2006-12-13 | |
| 2006-11-20 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +384,000 3,465,046 owned after | $0.38 exercise price | 2006-12-13 | |
| 2005-12-31 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrant Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | +854,646 2,178,646 owned after | $0.89 exercise price | 2006-01-04 |