IMAGEWARE SYSTEMS, 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: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-06-29: Reporting owner GOLDMAN NEAL I; Form 4; Security Convertible Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-06-29: Reporting owner MILLER S JAMES; Form 4; Security Convertible Note; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2014-06-27: Reporting owner MILLER S JAMES; Form 4; Security Convertible Note; Transaction C Conversion of derivative security.
- 2014-06-27: Reporting owner LOESCH DAVID R; Form 4; Security Convertible Note; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-06-29 | GOLDMAN NEAL I Director, 10% Owner | 4 | Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,717 4,717 owned after | $450,000.00 | 2020-08-10 | |
| 2020-06-29 | MILLER S JAMES Director, Officer (CHAIRMAN AND CEO) | 4 | Convertible Note Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $100,000.00 | 2020-08-05 | ||
| 2014-06-27 | MILLER S JAMES Director, Officer (CHAIRMAN AND CEO) | 4 | Convertible Note Derivative · Direct | C Conversion of derivative security | $0.55 exercise price | 2014-06-30 | ||
| 2014-06-27 | LOESCH DAVID R Director | 4 | Convertible Note Derivative · Direct | C Conversion of derivative security | $0.55 exercise price | 2014-06-27 | ||
| 2013-12-30 | Hamm G Steve Director | 4 | Convertible Note Derivative · Direct | C Conversion of derivative security | 0 owned after | $0.55 exercise price | 2014-01-02 | |
| 2011-12-20 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | C Conversion of derivative security | $0.50 | 2012-02-02 | ||
| 2011-12-20 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | $0.50 | 2012-02-02 | ||
| 2011-12-20 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | C Conversion of derivative security | $0.50 | 2012-02-02 | ||
| 2011-12-20 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | $1.25 | 2012-02-02 | ||
| 2011-12-20 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Indirect · (m) | C Conversion of derivative security | $0.50 | 2012-02-02 | ||
| 2011-06-09 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | $1.25 | 2012-02-02 | ||
| 2010-12-08 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +750,000 750,000 owned after | $0.50 | 2012-02-02 | |
| 2010-12-08 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +525,000 525,000 owned after | $0.50 | 2012-02-02 | |
| 2010-11-24 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +2,025,000 2,025,000 owned after | $0.50 | 2012-02-02 | |
| 2010-11-24 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +1,725,000 1,725,000 owned after | $0.50 | 2012-02-02 | |
| 2010-10-05 | GOLDMAN NEAL I 10% Owner | 5 | Convertible Promissory Note Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,000,000 owned after | $0.50 | 2012-02-02 | |
| 2008-11-14 | Hamm G Steve Director | 4 | Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,181 18,181 owned after | $10,000.00 | 2008-11-17 | |
| 2008-11-14 | LOESCH DAVID R Director | 4 | Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,181 18,181 owned after | $10,000.00 | 2008-11-17 | |
| 2008-11-14 | AuBuchon Charles T Officer (Vice President of Sales) | 4 | Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +81,818 81,818 owned after | $45,000.00 | 2008-11-17 | |
| 2008-11-14 | MILLER S JAMES Director, Officer (Chairman & CEO) | 4 | Convertible Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +81,818 81,818 owned after | $45,000.00 | 2008-11-17 |