DETERMINE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-21: Reporting owner SUBIN NEIL S; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2018-08-28: Reporting owner Brodsky Michael; Form 4; Security Warrant to Purchase Common Stock; Transaction Holding.
- 2018-01-22: Reporting owner SUBIN NEIL S; Form 3; Security Warrant; Transaction Holding.
- 2018-01-22: Reporting owner SUBIN NEIL S; Form 3; Security Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-21 | SUBIN NEIL S 10% Owner | 4 | Warrant Derivative · Indirect · By Milfam II L.P. | J Other acquisition or disposition (describe transaction) | +5,250,000 5,250,000 owned after | $0.01 exercise price | 2018-12-27 | |
| 2018-08-28 holding as of filing | Brodsky Michael Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Vajra Fund I, L.P. | Holding | 39,171 owned after | no price filed | 2018-08-28 | |
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Milfam I L.P. | Holding | $6.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | $6.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | $6.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Series A Warrant Derivative · Indirect · By Milfam II L.P. | Holding | $7.75 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Series A Warrant Derivative · Indirect · By LIM III- Trust A-4 | Holding | $7.75 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Series A Warrant Derivative · Indirect · By MBM - Trust A-4 | Holding | $7.75 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Series A Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | $7.75 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By LIM III - Trust A-4 | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By MBM - Trust A-4 | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Milfam II L.P. | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By LIM III - Trust A-4 | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By MBM - Trust A-4 | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-22 holding as of filing | SUBIN NEIL S 10% Owner | 3 | Warrant Derivative · Indirect · By Trust C - Lloyd I. Miller | Holding | $7.00 exercise price | 2018-01-22 | ||
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 79,787 owned after | $6.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 79,787 owned after | $6.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 79,787 owned after | $6.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 24,700 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 24,701 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 13,722 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 74,102 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 28,779 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 28,779 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 15,988 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 86,338 owned after | $7.00 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · (m) | Holding | 20,447 owned after | $7.75 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · (m) | Holding | 20,447 owned after | $7.75 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · (m) | Holding | 11,359 owned after | $7.75 exercise price | 2018-01-02 | |
| 2018-01-02 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | Series A Warrant Derivative · Indirect · (m) | Holding | 61,342 owned after | $7.75 exercise price | 2018-01-02 |