DETERMINE, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 447 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-05-05: Reporting owner Brodsky Michael; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-05-05: Reporting owner CASEY MICHAEL J; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-05-05: Reporting owner Mathieu Blaine; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-05-05: Reporting owner Spartz Todd; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-05-05 | Brodsky Michael Director, Officer (Chief Executive Officer) | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Vajra Fund I, L.P. | P Open market or private purchase of non-derivative or derivative security | +15,957 39,171 owned after | $6.00 exercise price | 2015-05-07 | |
| 2015-05-05 | CASEY MICHAEL J Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,659 12,659 owned after | $6.00 exercise price | 2015-05-07 | |
| 2015-05-05 | Mathieu Blaine Director, Officer (Chief Executive Officer) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,659 189,638 owned after | $6.00 exercise price | 2015-05-07 | |
| 2015-05-05 | Spartz Todd Officer (Chief Financial Officer) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,063 1,063 owned after | $6.00 exercise price | 2015-05-07 | |
| 2015-05-05 | Howe Alan B Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,659 17,659 owned after | $6.00 exercise price | 2015-05-07 | |
| 2015-02-06 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +79,787 79,787 owned after | $6.00 exercise price | 2015-02-10 | |
| 2015-02-06 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +79,787 79,787 owned after | $6.00 exercise price | 2015-02-10 | |
| 2015-02-06 | MILLER LLOYD I III 10% Owner | 4 | Warrant Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +79,787 79,787 owned after | $6.00 exercise price | 2015-02-10 | |
| 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 | |
| 2014-01-24 | 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 | |
| 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 |