DETERMINE, 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: 24 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-04-10: Reporting owner Alimco Financial Corp; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
- 2019-04-10: Reporting owner Alimco Financial Corp; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
- 2019-04-10: Reporting owner SUBIN NEIL S; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
- 2019-04-10: Reporting owner SUBIN NEIL S; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-04-10 | Alimco Financial Corp | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Direct | J Other acquisition or disposition (describe transaction) | −895,347 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-04-10 | Alimco Financial Corp | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,303,946 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | −899,113 0 owned after | $5.70 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Lloyd I. Miller, III Revocable Trust | J Other acquisition or disposition (describe transaction) | −899,110 0 owned after | $5.70 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | −449,555 0 owned after | $5.70 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | −449,555 0 owned after | $5.70 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | −767,440 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Lloyd I. Miller, III Revocable Trust | J Other acquisition or disposition (describe transaction) | −767,440 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | −383,720 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | −383,720 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-04-10 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | −1,303,946 0 owned after | $3.00 exercise price | 2019-04-12 | |
| 2019-03-31 | Alimco Financial Corp | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Direct | J Other acquisition or disposition (describe transaction) | +20,543 297,794 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-31 | Alimco Financial Corp | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Direct | J Other acquisition or disposition (describe transaction) | +35,386 433,458 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-31 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +17,608 255,252 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-31 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Lloyd I. Miller, III Revocable Trust | J Other acquisition or disposition (describe transaction) | +17,608 255,252 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-31 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +8,804 127,626 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-31 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +8,804 127,626 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-31 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +35,386 433,458 owned after | $3.00 exercise price | 2019-04-02 | |
| 2019-03-11 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +20,544 156,702 owned after | $5.70 exercise price | 2019-03-12 | |
| 2019-03-11 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Lloyd I. Miller, III Revocable Trust | J Other acquisition or disposition (describe transaction) | +20,544 156,701 owned after | $5.70 exercise price | 2019-03-12 | |
| 2019-03-11 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +10,272 78,349 owned after | $5.70 exercise price | 2019-03-12 | |
| 2019-03-11 | SUBIN NEIL S | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +10,272 78,349 owned after | $5.70 exercise price | 2019-03-12 | |
| 2019-01-03 holding as of filing | Alimco Financial Corp 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Alimco Financial Corporation | Holding | $3.00 exercise price | 2019-01-03 | ||
| 2019-01-03 holding as of filing | Alimco Financial Corp 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Alimco Financial Corporation | Holding | $3.00 exercise price | 2019-01-03 |