IMAGE ENTERTAINMENT INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-01-15: Reporting owner STARK MORGAN B | STRAUSS THOMAS W | RCG HOLDINGS LLC | SOLOMON JEFFREY M | COHEN PETER A | C4S & CO LLC | Portside Growth & Opportunity Fund | COWEN GROUP, INC. | Ramius LLC; Form 3; Security Warrants (right to buy); Transaction Holding.
- 2008-03-19: Reporting owner IMAGE INVESTORS CO; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2008-03-19: Reporting owner KLUGE JOHN W; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2008-03-19: Reporting owner SUBOTNICK STUART; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-01-15 holding as of filing | STARK MORGAN B | STRAUSS THOMAS W | RCG HOLDINGS LLC | SOLOMON JEFFREY M | COHEN PETER A | C4S & CO LLC | Portside Growth & Opportunity Fund | COWEN GROUP, INC. | Ramius LLC | | 10% Owner | | | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · By Portside Growth and Opportunity Fund | Holding | $0.53 exercise price | 2010-01-15 | ||
| 2008-03-19 | IMAGE INVESTORS CO 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −100,000 0 owned after | $2.04 | 2008-06-23 | |
| 2008-03-19 | KLUGE JOHN W 10% Owner | 4 | Warrant Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −100,000 0 owned after | $2.04 | 2008-06-23 | |
| 2008-03-19 | SUBOTNICK STUART 10% Owner | 4 | Warrant Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −100,000 0 owned after | $2.04 | 2008-06-23 |