iCAD INC Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 48 rows, 48 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-03-20: Reporting owner Wood Susan Alyson; Form 4; Security Convertible Debenture; Transaction C Conversion of derivative security.
- 2020-03-20: Reporting owner Stevens Stacey M; Form 4; Security Convertible Debenture; Transaction C Conversion of derivative security.
- 2020-03-20: Reporting owner Patel Rakesh; Form 4; Security Convertible Debenture; Transaction C Conversion of derivative security.
- 2020-03-20: Reporting owner Go Jonathan; Form 4; Security Convertible Debenture; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-03-20 | Wood Susan Alyson Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −1,000 0 owned after | $7.51 exercise price | 2020-03-24 | |
| 2020-03-20 | Stevens Stacey M Officer (President) | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −2,000 0 owned after | $7.51 exercise price | 2020-03-24 | |
| 2020-03-20 | Patel Rakesh Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $7.51 exercise price | 2020-03-24 | |
| 2020-03-20 | Go Jonathan Officer (Chief Technology Officer) | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $7.51 exercise price | 2020-03-24 | |
| 2020-03-20 | Klein Michael S Director, Officer (Chief Executive Officer) | 4 | Convertible Debenture Derivative · Indirect · By Klein 1999 Family Trust | C Conversion of derivative security | −10,000 0 owned after | $7.51 exercise price | 2020-03-24 | |
| 2020-03-20 | SASSINE ANDY Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −40,000 0 owned after | $7.51 exercise price | 2020-03-24 | |
| 2020-02-21 | DALTON NATHANIEL Director | 4 | Convertible Debenture Derivative · Indirect · As co-manager of Daybreak Investments LLC | C Conversion of derivative security | −400,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | DALTON NATHANIEL Director | 4 | Convertible Debenture Derivative · Indirect · As co-manager of Daybreak Invetments LLC | C Conversion of derivative security | −40,000 0 owned after | $9.26 exercise price | 2020-02-25 | |
| 2020-02-21 | Wood Susan Alyson Director | 4 | Convertiable Debenture Derivative · Direct | C Conversion of derivative security | −10,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | Wood Susan Alyson Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −1,000 0 owned after | $12.08 exercise price | 2020-02-25 | |
| 2020-02-21 | Stevens Stacey M Officer (President) | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −20,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | Stevens Stacey M Officer (President) | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −2,000 0 owned after | $12.08 exercise price | 2020-02-25 | |
| 2020-02-21 | Patel Rakesh Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −50,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | Patel Rakesh Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $12.08 exercise price | 2020-02-25 | |
| 2020-02-21 | Go Jonathan Officer (Chief Technology Officer) | 4 | Convertble Debenture Derivative · Direct | C Conversion of derivative security | −50,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | Go Jonathan Officer (Chief Technology Officer) | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $12.08 exercise price | 2020-02-25 | |
| 2020-02-21 | SASSINE ANDY Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −400,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | SASSINE ANDY Director | 4 | Convertible Debenture Derivative · Direct | C Conversion of derivative security | −40,000 0 owned after | $12.08 exercise price | 2020-02-25 | |
| 2020-02-21 | Klein Michael S Director, Officer (Chief Executive Officer) | 4 | Convertible Debenture Derivative · Indirect · By Klein 1999 Family Trust | C Conversion of derivative security | −100,000 0 owned after | $4.00 exercise price | 2020-02-25 | |
| 2020-02-21 | Klein Michael S Director, Officer (Chief Executive Officer) | 4 | Convertible Debenture Derivative · Indirect · By Klein 1999 Family Trust | C Conversion of derivative security | −10,000 0 owned after | $12.08 exercise price | 2020-02-25 | |
| 2020-01-14 holding as of filing | DALTON NATHANIEL Director | 3 | Convertible Debentures Derivative · Indirect · (m) | Holding | $4.00 exercise price | 2020-01-14 | ||
| 2018-12-21 | Wood Susan Alyson Director | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $4.00 | 2018-12-27 | |
| 2018-12-21 | Stevens Stacey M Officer (Executive Vice President) | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.00 | 2018-12-27 | |
| 2018-12-21 | Brem Rachel Director | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.00 | 2018-12-27 | |
| 2018-12-21 | Patel Rakesh Director | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $4.00 | 2018-12-27 | |
| 2018-12-21 | CHRISTOPHER RICHARD Officer (Executive VP and CFO) | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $4.00 | 2018-12-27 | |
| 2018-12-21 | SASSINE ANDY Director | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.00 | 2018-12-27 | |
| 2018-12-21 | Klein Michael S Director, Officer (Interim CEO) | 4 | Convertible Debenture Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.00 | 2018-12-27 | |
| 2008-09-19 | RAPPAPORT STEVEN N Director | 4 | 7.25% Convertible Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $1.70 exercise price | 2008-09-23 | |
| 2008-09-14 | HOWARD ROBERT 10% Owner | 4 | 7.25% Convertible Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $1.70 exercise price | 2008-09-16 | |
| 2008-09-12 | Stevens Stacey M Officer (Sr. VP of Marketing & Strategy) | 4 | 7.25% Convertible Note Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | 0 owned after | $1.70 exercise price | 2008-09-16 | |
| 2008-09-12 | Barnes Jeffrey H Officer (Sr. VP of Sales) | 4 | 7.25% Convertible Note Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | 0 owned after | $1.70 exercise price | 2008-09-16 | |
| 2008-09-12 | SUSSMAN ELLIOT J MD MBA Director | 4 | 7.25% Convertible Note Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | 0 owned after | $1.70 exercise price | 2008-09-16 | |
| 2008-09-12 | HOWARD DR LAWRENCE Director | 4 | 7.25% Convertible Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $1.70 exercise price | 2008-09-16 | |
| 2008-06-30 | HOWARD ROBERT 10% Owner | 4 | Convertible Revolving Credit Promissory Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $2,351,917.00 | 2008-07-02 | |
| 2008-06-20 | Ferry Kenneth M Director, Officer (President, CEO) | 4 | 7% Convertible Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $342,000.00 | 2008-06-23 | |
| 2008-06-19 | HOWARD DR LAWRENCE Director | 4 | 7% Convertible Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $228,000.00 | 2008-06-23 | |
| 2006-12-12 holding as of filing | RAPPAPORT STEVEN N Director | 3 | 7.25% Convertible Note Derivative · Direct | Holding | $1.70 exercise price | 2006-12-12 | ||
| 2006-11-16 holding as of filing | HOWARD DR LAWRENCE Director | 3 | 7% Convertible Note Derivative · Direct | Holding | $1.50 exercise price | 2006-11-16 | ||
| 2006-11-16 holding as of filing | HOWARD DR LAWRENCE Director | 3 | 7.25% Convertible Note Derivative · Direct | Holding | $1.70 exercise price | 2006-11-16 | ||
| 2006-09-14 | HOWARD ROBERT Director, 10% Owner | 4 | 7.25% Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $1,350,000.00 | 2006-09-15 | ||
| 2006-09-12 | HARLAN JAMES Director | 4 | 7.25% Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $300,000.00 | 2006-09-14 | ||
| 2006-09-12 | Barnes Jeffrey H Officer (Executive VP of Sales) | 4 | 7.25% Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $50,000.00 | 2006-09-14 | ||
| 2006-09-12 | Stevens Stacey M Officer (Executive VP of Marketing) | 4 | 7.25% Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | 50,000 owned after | $50,000.00 | 2006-09-14 | |
| 2006-09-12 | SUSSMAN ELLIOT J MD MBA Director | 4 | 7.25% Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $100,000.00 | 2006-09-14 | |
| 2006-06-20 | Ferry Kenneth M Director, Officer (President, CEO) | 4 | 7% Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $300,000.00 | 2006-06-22 | |
| 2006-06-13 | HOWARD ROBERT Director, 10% Owner | 4 | Convertible Revolving Credit Promissory Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000,000 2,000,000 owned after | $2,000,000.00 | 2006-06-16 | |
| 2005-12-31 | HOWARD ROBERT Director, 10% Owner | 5/A | Convertible Revolving Credit Promissory Note Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −41,094 108,906 owned after | $41,094.00 | 2006-06-22 |