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IMAGE ENTERTAINMENT INC Forms 3, 4 and 5: Warrants

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 dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
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
3Warrants (right to buy)
Derivative · Indirect · By Portside Growth and Opportunity Fund
Holding$0.53
exercise price
2010-01-15
2008-03-19IMAGE INVESTORS CO
10% Owner
4Warrant
Derivative · Direct
X Exercise of in-the-money or at-the-money derivative security−100,000
0 owned after
$2.042008-06-23
2008-03-19KLUGE JOHN W
10% Owner
4Warrant
Derivative · Indirect · See Footnotes
X Exercise of in-the-money or at-the-money derivative security−100,000
0 owned after
$2.042008-06-23
2008-03-19SUBOTNICK STUART
10% Owner
4Warrant
Derivative · Indirect · See Footnote
X Exercise of in-the-money or at-the-money derivative security−100,000
0 owned after
$2.042008-06-23