DETERMINE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-14: Reporting owner Sems Lloyd; Form 4; Security Series B Warrant; Transaction Holding.
- 2013-09-12: Reporting owner Brodsky Michael; Form 4; Security Series B Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-09-12: Reporting owner Sems Lloyd; Form 4; Security Series B Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-09-12: Reporting owner GULLARD JAMES MICHAEL; Form 4; Security Series B Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-11-14 holding as of filing | Sems Lloyd Director | 4 | Series B Warrant Derivative · Indirect · By Sems Diversified Value LP | Holding | 15,000 owned after | $7.75 exercise price | 2013-11-14 | |
| 2013-09-12 | Brodsky Michael Director, Officer (Chief Executive Officer) | 4 | Series B Warrant Derivative · Indirect · By the Vajra Fund I, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −23,214 23,214 owned after | $7.75 exercise price | 2013-09-12 | |
| 2013-09-12 | Sems Lloyd Director | 4 | Series B Warrant Derivative · Indirect · By Sems Diversified Value, LP. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −15,000 | $7.75 exercise price | 2013-09-12 | |
| 2013-09-12 | GULLARD JAMES MICHAEL Director | 4 | Series B Warrant Derivative · Indirect · By The Gullard Family Trust. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,357 5,357 owned after | $7.75 exercise price | 2013-09-12 | |
| 2013-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | Holding | 40,894 owned after | $8.75 exercise price | 2013-09-12 | |
| 2013-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | 11,359 owned after | $8.75 exercise price | 2013-09-12 | |
| 2013-09-12 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Milfam II L.P. | Holding | 61,342 owned after | $8.75 exercise price | 2013-09-12 | |
| 2013-05-31 | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | P Open market or private purchase of non-derivative or derivative security | +40,894 40,894 owned after | $8.75 exercise price | 2013-06-04 | |
| 2013-05-31 | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | P Open market or private purchase of non-derivative or derivative security | +11,359 11,359 owned after | $8.75 exercise price | 2013-06-04 | |
| 2013-05-31 | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Milfam II L.P. | P Open market or private purchase of non-derivative or derivative security | +61,342 61,342 owned after | $8.75 exercise price | 2013-06-04 |