DETERMINE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-04: Reporting owner Brodsky Michael; Form 4; Security Series B Warrant; Transaction Holding.
- 2014-08-29: Reporting owner MILLER LLOYD I III; Form 4; Security Warrant; Transaction Holding.
- 2014-08-29: Reporting owner MILLER LLOYD I III; Form 4; Security Warrant; Transaction Holding.
- 2014-08-29: Reporting owner MILLER LLOYD I III; Form 4; Security Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-04 holding as of filing | Brodsky Michael Director, Officer (Chief Executive Officer) | 4 | Series B Warrant Derivative · Indirect · By the Vajra Fund I, L.P. | Holding | 23,214 owned after | $7.75 exercise price | 2014-09-04 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | Holding | 49,401 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | 0 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milgrat (D10) | Holding | 13,722 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | 74,102 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | Holding | 57,558 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | 0 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milgrat (D10) | Holding | 15,988 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | 86,338 owned after | $7.00 exercise price | 2014-08-29 | |
| 2014-08-29 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 | $7.75 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | 0 owned after | $7.75 exercise price | 2014-08-29 | |
| 2014-08-29 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · By Milgrat (D10) | Holding | 11,359 owned after | $7.75 exercise price | 2014-08-29 | |
| 2014-08-29 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 | $7.75 exercise price | 2014-08-29 | |
| 2014-07-03 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | Holding | 57,558 owned after | $7.00 exercise price | 2014-07-03 | |
| 2014-07-03 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | 15,988 owned after | $7.00 exercise price | 2014-07-03 | |
| 2014-07-03 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | 86,338 owned after | $7.00 exercise price | 2014-07-03 | |
| 2014-07-03 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 | $7.75 exercise price | 2014-07-03 | |
| 2014-07-03 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 | $7.75 exercise price | 2014-07-03 | |
| 2014-07-03 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 | $7.75 exercise price | 2014-07-03 | |
| 2014-07-02 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | P Open market or private purchase of non-derivative or derivative security | +49,401 49,401 owned after | $7.00 exercise price | 2014-07-03 | |
| 2014-07-02 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | P Open market or private purchase of non-derivative or derivative security | +13,722 13,722 owned after | $7.00 exercise price | 2014-07-03 | |
| 2014-07-02 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | P Open market or private purchase of non-derivative or derivative security | +74,102 74,102 owned after | $7.00 exercise price | 2014-07-03 | |
| 2014-04-15 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | Holding | 57,558 owned after | $7.00 exercise price | 2014-04-15 | |
| 2014-04-15 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | 15,988 owned after | $7.00 exercise price | 2014-04-15 | |
| 2014-04-15 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | 86,338 owned after | $7.00 exercise price | 2014-04-15 | |
| 2014-04-15 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 | $7.75 exercise price | 2014-04-15 | |
| 2014-04-15 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 | $7.75 exercise price | 2014-04-15 | |
| 2014-04-15 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 | $7.75 exercise price | 2014-04-15 | |
| 2014-01-27 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 | $7.75 exercise price | 2014-01-27 | |
| 2014-01-27 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 | $7.75 exercise price | 2014-01-27 | |
| 2014-01-27 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 | $7.75 exercise price | 2014-01-27 | |
| 2014-01-24 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust A-4 - Lloyd I. Miller | P Open market or private purchase of non-derivative or derivative security | +57,558 57,558 owned after | $7.00 exercise price | 2014-01-27 | |
| 2014-01-24 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | P Open market or private purchase of non-derivative or derivative security | +15,988 15,988 owned after | $7.00 exercise price | 2014-01-27 | |
| 2014-01-24 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | P Open market or private purchase of non-derivative or derivative security | +86,338 86,338 owned after | $7.00 exercise price | 2014-01-27 |