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: 51 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-31: Reporting owner Alimco Financial Corp; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
- 2018-12-31: Reporting owner Alimco Financial Corp; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
- 2018-12-31: Reporting owner SUBIN NEIL S; Form 4; Security Junior Secured Convertible Promissory Note and PIK Interest; Transaction J Other acquisition or disposition (describe transaction).
- 2018-12-31: 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-12-31 | Alimco Financial Corp 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Alimco Financial Corporation | J Other acquisition or disposition (describe transaction) | +20,999 290,947 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-31 | Alimco Financial Corp 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Alimco Financial Corporation | J Other acquisition or disposition (describe transaction) | +36,172 421,663 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +17,999 249,378 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-31 | SUBIN NEIL S 10% Owner | 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) | +17,999 249,378 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,000 124,686 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,000 124,686 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +36,172 421,658 owned after | $3.00 exercise price | 2019-01-03 | |
| 2018-12-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +20,773 153,098 owned after | $5.70 exercise price | 2018-12-13 | |
| 2018-12-11 | SUBIN NEIL S 10% Owner | 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) | +20,773 153,097 owned after | $5.70 exercise price | 2018-12-13 | |
| 2018-12-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +10,386 76,547 owned after | $5.70 exercise price | 2018-12-13 | |
| 2018-12-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +10,386 76,547 owned after | $5.70 exercise price | 2018-12-13 | |
| 2018-09-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +17,999 243,379 owned after | $3.00 exercise price | 2018-10-02 | |
| 2018-09-30 | SUBIN NEIL S 10% Owner | 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) | +17,999 243,379 owned after | $3.00 exercise price | 2018-10-02 | |
| 2018-09-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,000 121,687 owned after | $3.00 exercise price | 2018-10-02 | |
| 2018-09-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,000 121,687 owned after | $3.00 exercise price | 2018-10-02 | |
| 2018-09-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +36,172 409,601 owned after | $3.00 exercise price | 2018-10-02 | |
| 2018-09-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +21,001 149,454 owned after | $5.70 exercise price | 2018-09-13 | |
| 2018-09-11 | SUBIN NEIL S 10% Owner | 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) | +21,001 149,453 owned after | $5.70 exercise price | 2018-09-13 | |
| 2018-09-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +10,500 74,725 owned after | $5.70 exercise price | 2018-09-13 | |
| 2018-09-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +10,500 74,725 owned after | $5.70 exercise price | 2018-09-13 | |
| 2018-06-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +16,562 237,380 owned after | $3.00 exercise price | 2018-07-03 | |
| 2018-06-30 | SUBIN NEIL S 10% Owner | 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) | +16,562 237,380 owned after | $3.00 exercise price | 2018-07-03 | |
| 2018-06-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +8,281 118,688 owned after | $3.00 exercise price | 2018-07-03 | |
| 2018-06-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +8,281 118,688 owned after | $3.00 exercise price | 2018-07-03 | |
| 2018-06-30 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +32,825 397,544 owned after | $3.00 exercise price | 2018-07-03 | |
| 2018-06-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +19,536 145,769 owned after | $5.70 exercise price | 2018-06-12 | |
| 2018-06-11 | SUBIN NEIL S 10% Owner | 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) | +19,536 145,769 owned after | $5.70 exercise price | 2018-06-12 | |
| 2018-06-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,768 72,884 owned after | $5.70 exercise price | 2018-06-12 | |
| 2018-06-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,768 72,884 owned after | $5.70 exercise price | 2018-06-12 | |
| 2018-03-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +16,380 231,860 owned after | $3.00 exercise price | 2018-04-03 | |
| 2018-03-31 | SUBIN NEIL S 10% Owner | 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) | +16,380 231,860 owned after | $3.00 exercise price | 2018-04-03 | |
| 2018-03-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +8,190 115,929 owned after | $3.00 exercise price | 2018-04-03 | |
| 2018-03-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +8,190 115,929 owned after | $3.00 exercise price | 2018-04-03 | |
| 2018-03-31 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +32,464 386,603 owned after | $3.00 exercise price | 2018-04-03 | |
| 2018-03-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +19,111 142,342 owned after | $5.70 exercise price | 2018-03-13 | |
| 2018-03-11 | SUBIN NEIL S 10% Owner | 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) | +19,111 142,342 owned after | $5.70 exercise price | 2018-03-13 | |
| 2018-03-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,555 71,171 owned after | $5.70 exercise price | 2018-03-13 | |
| 2018-03-11 | SUBIN NEIL S 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | J Other acquisition or disposition (describe transaction) | +9,555 71,171 owned after | $5.70 exercise price | 2018-03-13 | |
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | Holding | $5.70 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Lloyd I. Miller, III Revocable Trust | Holding | $5.70 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust A-4 | Holding | $5.70 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM - Trust A-4 | Holding | $5.70 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | Holding | $3.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Lloyd I. Miller III Revocable Trust | Holding | $3.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By LIM III - Trust-4 | Holding | $3.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By MBM -Trust A-4 | Holding | $3.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · By Milfam II L.P. | Holding | $3.00 exercise price | 2018-01-22 | ||
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · (m) | Holding | 138,990 owned after | $5.70 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Direct · (m) | Holding | 138,990 owned after | $5.70 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · (m) | Holding | 69,495 owned after | $5.70 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Junior Secured Convertible Promissory Note and PIK Interest Derivative · Indirect · (m) | Holding | 69,495 owned after | $5.70 exercise price | 2018-01-02 |