DETERMINE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-02-11: Reporting owner SUBIN NEIL S; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-02-11: Reporting owner Alimco Financial Corp; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2019-01-03: Reporting owner Alimco Financial Corp; Form 3; Security Warrant; Transaction Holding.
- 2018-12-21: Reporting owner SUBIN NEIL S; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-02-11 | SUBIN NEIL S | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | X Exercise of in-the-money or at-the-money derivative security | −5,250,000 0 owned after | $0.01 exercise price | 2019-02-13 | |
| 2019-02-11 | Alimco Financial Corp | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,250,000 0 owned after | $0.01 exercise price | 2019-02-13 | |
| 2019-01-03 holding as of filing | Alimco Financial Corp 10% Owner | 3 | Warrant Derivative · Indirect · By Alimco Financial Corporation | Holding | $0.01 exercise price | 2019-01-03 |