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: 86 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-31: Reporting owner MILLER LLOYD I III; Form 4; Security PIK Interest on Junior Secured Convertible Promissory Note; Transaction J Other acquisition or disposition (describe transaction).
- 2016-12-31: Reporting owner MILLER LLOYD I III; Form 4; Security PIK Interest on Junior Secured Convertible Promissory Note; Transaction J Other acquisition or disposition (describe transaction).
- 2016-12-31: Reporting owner MILLER LLOYD I III; Form 4; Security PIK Interest on Junior Secured Convertible Promissory Note; Transaction J Other acquisition or disposition (describe transaction).
- 2016-12-31: Reporting owner MILLER LLOYD I III; Form 4; Security PIK Interest on Junior Secured Convertible Promissory Note; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-31 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +1,319 439 owned after | $3.00 exercise price | 2017-01-04 | |
| 2016-12-31 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +15,165 5,054 owned after | $3.00 exercise price | 2017-01-04 | |
| 2016-12-31 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +15,165 5,054 owned after | $3.00 exercise price | 2017-01-04 | |
| 2016-12-31 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +15,165 5,054 owned after | $3.00 exercise price | 2017-01-04 | |
| 2016-12-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 200,000 owned after | $3.00 exercise price | 2016-12-29 | |
| 2016-12-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 200,000 owned after | $3.00 exercise price | 2016-12-29 | |
| 2016-12-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 200,000 owned after | $3.00 exercise price | 2016-12-29 | |
| 2016-12-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-12-29 | |
| 2016-12-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-12-29 | |
| 2016-12-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-12-29 | |
| 2016-12-27 | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +1,000,000 333,333 owned after | $3.00 exercise price | 2016-12-29 | |
| 2016-12-27 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +25,000 4,385 owned after | $5.70 exercise price | 2016-12-29 | |
| 2016-12-27 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +25,000 4,385 owned after | $5.70 exercise price | 2016-12-29 | |
| 2016-12-27 | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +25,000 4,385 owned after | $5.70 exercise price | 2016-12-29 | |
| 2016-09-30 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-09-30 | |
| 2016-09-30 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-09-30 | |
| 2016-09-30 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-09-30 | |
| 2016-09-30 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-09-30 | |
| 2016-09-30 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-09-30 | |
| 2016-09-30 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-09-30 | |
| 2016-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-09-12 | |
| 2016-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-09-12 | |
| 2016-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-09-12 | |
| 2016-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-09-12 | |
| 2016-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-09-12 | |
| 2016-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-09-12 | |
| 2016-07-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-22 | |
| 2016-07-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-22 | |
| 2016-07-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-22 | |
| 2016-07-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-22 | |
| 2016-07-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-22 | |
| 2016-07-22 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-22 | |
| 2016-07-21 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-21 | |
| 2016-07-21 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-21 | |
| 2016-07-21 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-21 | |
| 2016-07-21 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-21 | |
| 2016-07-21 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-21 | |
| 2016-07-21 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-21 | |
| 2016-07-20 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-20 | |
| 2016-07-20 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-20 | |
| 2016-07-20 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-20 | |
| 2016-07-20 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-20 | |
| 2016-07-20 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-20 | |
| 2016-07-20 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-20 | |
| 2016-07-19 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-19 | |
| 2016-07-19 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-19 | |
| 2016-07-19 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-19 | |
| 2016-07-19 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-19 | |
| 2016-07-19 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-19 | |
| 2016-07-19 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-19 | |
| 2016-07-18 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-18 | |
| 2016-07-18 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-18 | |
| 2016-07-18 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-18 | |
| 2016-07-18 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-18 | |
| 2016-07-18 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-18 | |
| 2016-07-18 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-18 | |
| 2016-07-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-01 | |
| 2016-07-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-01 | |
| 2016-07-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-07-01 | |
| 2016-07-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-01 | |
| 2016-07-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-01 | |
| 2016-07-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-07-01 | |
| 2016-06-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-06-13 | |
| 2016-06-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-06-13 | |
| 2016-06-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-06-13 | |
| 2016-06-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-06-13 | |
| 2016-06-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-06-13 | |
| 2016-06-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-06-13 | |
| 2016-04-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-04-01 | |
| 2016-04-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-04-01 | |
| 2016-04-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-04-01 | |
| 2016-04-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-04-01 | |
| 2016-04-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-04-01 | |
| 2016-04-01 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-04-01 | |
| 2016-03-14 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-03-14 | |
| 2016-03-14 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-03-14 | |
| 2016-03-14 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-03-14 | |
| 2016-03-14 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-03-14 | |
| 2016-03-14 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-03-14 | |
| 2016-03-14 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-03-14 | |
| 2016-01-05 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-01-05 | |
| 2016-01-05 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-01-05 | |
| 2016-01-05 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 160,000 owned after | $3.75 exercise price | 2016-01-05 | |
| 2016-01-05 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-01-05 | |
| 2016-01-05 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Indirect · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-01-05 | |
| 2016-01-05 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Notes Derivative · Direct · (m) | Holding | 175,439 owned after | $5.70 exercise price | 2016-01-05 |