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: 128 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-03-31: 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).
- 2017-03-13: Reporting owner MILLER LLOYD I III; Form 4; Security Junior Secured Convertible Promissory Note; Transaction Holding.
- 2017-03-13: Reporting owner MILLER LLOYD I III; Form 4; Security PIK Interest on Junior Secured Convertible Promissory Note; Transaction Holding.
- 2017-03-13: Reporting owner MILLER LLOYD I III; Form 4; Security Junior Secured Convertible Promissory Note; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-03-31 | 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) | +15,210 10,124 owned after | $3.00 exercise price | 2017-04-04 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 333,333 owned after | $3.00 exercise price | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 439 owned after | $3.00 exercise price | 2017-03-13 | |
| 2017-03-13 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 | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 5,054 owned after | $3.00 exercise price | 2017-03-13 | |
| 2017-03-13 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 | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 5,054 owned after | $3.00 exercise price | 2017-03-13 | |
| 2017-03-13 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 | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 5,054 owned after | $3.00 exercise price | 2017-03-13 | |
| 2017-03-13 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 | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 4,385 owned after | $5.70 exercise price | 2017-03-13 | |
| 2017-03-13 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 | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 4,385 owned after | $5.70 exercise price | 2017-03-13 | |
| 2017-03-13 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 | 2017-03-13 | |
| 2017-03-13 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 4,385 owned after | $5.70 exercise price | 2017-03-13 | |
| 2017-03-11 | 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) | +25,343 4,446 owned after | $5.70 exercise price | 2017-03-13 | |
| 2017-03-11 | 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) | +25,343 4,446 owned after | $5.70 exercise price | 2017-03-13 | |
| 2017-03-11 | 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) | +25,343 4,446 owned after | $5.70 exercise price | 2017-03-13 | |
| 2017-01-04 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 333,333 owned after | $3.00 exercise price | 2017-01-04 | |
| 2017-01-04 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 | 2017-01-04 | |
| 2017-01-04 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 | 2017-01-04 | |
| 2017-01-04 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 | 2017-01-04 | |
| 2017-01-04 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 | 2017-01-04 | |
| 2017-01-04 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 4,385 owned after | $5.70 exercise price | 2017-01-04 | |
| 2017-01-04 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 | 2017-01-04 | |
| 2017-01-04 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Indirect · (m) | Holding | 4,385 owned after | $5.70 exercise price | 2017-01-04 | |
| 2017-01-04 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 | 2017-01-04 | |
| 2017-01-04 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | PIK Interest on Junior Secured Convertible Promissory Note Derivative · Direct · (m) | Holding | 4,385 owned after | $5.70 exercise price | 2017-01-04 |