IMAGEWARE SYSTEMS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 40 rows, 40 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-07-13: Reporting owner Mack Daniel | Nantahala Capital Management, LLC | Harkey Wilmot B.; Form 4; Security Series D Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2022-06-03: Reporting owner Harkey Wilmot B. | Mack Daniel | Nantahala Capital Management, LLC; Form 4/A; Security Series D Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2022-06-03: Reporting owner Harkey Wilmot B. | Nantahala Capital Management, LLC | Mack Daniel; Form 4; Security Series D Convertible Preferred Stock; Transaction J Other acquisition or disposition (describe transaction).
- 2021-05-07: Reporting owner SIGHT JAMES W; Form 3; Security Series D Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-07-13 | Mack Daniel | Nantahala Capital Management, LLC | Harkey Wilmot B. 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −150 13,278 owned after | $1,000.00 | 2022-07-15 | |
| 2022-06-03 | Harkey Wilmot B. | Mack Daniel | Nantahala Capital Management, LLC 10% Owner | 10% Owner | 10% Owner | 4/A | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −2,600 13,274 owned after | $1,000.00 | 2022-07-15 | |
| 2022-06-03 | Harkey Wilmot B. | Nantahala Capital Management, LLC | Mack Daniel 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +2,600 13,274 owned after | $1,000.00 | 2022-06-08 | |
| 2021-05-07 holding as of filing | SIGHT JAMES W Director | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2021-05-07 | ||
| 2020-11-19 holding as of filing | Nantahala Capital Partners II Limited Partnership 10% Owner | 3 | Series D Convertible Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2020-11-19 | ||
| 2020-11-12 | Nantahala Capital Management, LLC | Harkey Wilmot B. | Mack Daniel 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +7,500 7,500 owned after | $1,000.00 | 2020-11-16 | |
| 2020-11-12 | Nantahala Capital Management, LLC | Harkey Wilmot B. | Mack Daniel 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Redeemable Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −750 0 owned after | $10,000.00 | 2020-11-16 | |
| 2020-11-12 | Nantahala Capital Management, LLC | Harkey Wilmot B. | Mack Daniel 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +7,500 15,000 owned after | $1,000.00 | 2020-11-16 | |
| 2020-10-15 holding as of filing | Mack Daniel | Harkey Wilmot B. | Nantahala Capital Management, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Redeemable Preferred Stock Derivative · Indirect · See Footnote | Holding | $1.00 exercise price | 2020-10-15 | ||
| 2020-07-09 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,717 4,717 owned after | no price filed | 2020-08-10 | |
| 2020-07-09 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | no price filed | 2020-08-10 | ||
| 2018-09-10 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | 6,301 owned after | $1.15 exercise price | 2018-09-21 | |
| 2018-09-10 | CROCKER CHARLES Director | 4 | Series A Convertible Preferred Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | $1.15 exercise price | 2018-09-21 | ||
| 2017-09-21 holding as of filing | Frischer Charles Director | 3 | Series E Convertible Preferred Stock Derivative · Direct | Holding | $1.90 exercise price | 2017-09-21 | ||
| 2017-09-21 holding as of filing | Frischer Charles Director | 3 | Series G Convertible Preferred Stock Derivative · Direct | Holding | $1.50 exercise price | 2017-09-21 | ||
| 2017-09-21 holding as of filing | Clutterbuck Robert T Director | 3 | Series E Convertible Preferred Stock Derivative · Indirect · By the Robert T. Clutterbuck Trust | Holding | $1.90 exercise price | 2017-09-21 | ||
| 2017-09-21 holding as of filing | Clutterbuck Robert T Director | 3 | Series G Convertible Preferred Stock Derivative · Indirect · By the Robert T. Clutterbuck Trust | Holding | $1.50 exercise price | 2017-09-21 | ||
| 2017-09-21 holding as of filing | Clutterbuck Robert T Director | 3 | Series G Convertible Preferred Stock Derivative · Indirect · By 401K Plan FBO Robert T Clutterbuck | Holding | $1.50 exercise price | 2017-09-21 | ||
| 2017-09-19 | MILLER S JAMES Director, Officer (CHAIRMAN AND CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100 100 owned after | $1,000.00 | 2017-09-21 | |
| 2017-09-19 | WETHERELL WAYNE G Officer (SR. VP AND CFO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25 25 owned after | $1,000.00 | 2017-09-21 | |
| 2017-09-19 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,278 0 owned after | $1.90 exercise price | 2017-09-21 | |
| 2017-09-19 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,278 2,278 owned after | $1.15 exercise price | 2017-09-21 | |
| 2017-09-19 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +855 3,133 owned after | $1,000.00 | 2017-09-21 | |
| 2017-09-19 | Frischer Charles Director | 4 | Series E Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,636 0 owned after | $1.90 exercise price | 2017-09-21 | |
| 2017-09-19 | Frischer Charles Director | 4 | Series G Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −469 0 owned after | $1.50 exercise price | 2017-09-21 | |
| 2017-09-19 | Frischer Charles Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,105 3,105 owned after | $1.15 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series E Convertible Preferred Stock Derivative · Indirect · By the Robert T. Clutterbuck Trust | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −286 0 owned after | $1.90 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series G Convertible Preferred Stock Derivative · Indirect · By the Robert T. Clutterbuck Trust | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,533 0 owned after | $1.50 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series G Convertible Preferred Stock Derivative · Indirect · By 401K Plan FBO Robert T. Clutterbuck | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −59 0 owned after | $1.50 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By the Robert T. Clutterbuck Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +286 286 owned after | $1.15 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By the Robert T. Clutterbuck Trust | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,533 1,533 owned after | $1.15 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By 401K Plan FBO Robert T. Clutterbuck | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +59 59 owned after | $1.15 exercise price | 2017-09-21 | |
| 2017-09-19 | Clutterbuck Robert T Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Fidelity Roth IRA FBO Robert T. Clutterbuck | P Open market or private purchase of non-derivative or derivative security | +250 250 owned after | $1,000.00 | 2017-09-21 | |
| 2015-02-06 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series E Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +300 300 owned after | $1,000.00 | 2015-02-10 | |
| 2015-02-06 | GOLDMAN NEAL I Director, 10% Owner | 4 | Series E Preferred Convertible Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,978 2,278 owned after | $1.90 exercise price | 2015-02-10 | |
| 2012-01-31 holding as of filing | GOLDMAN NEAL I 10% Owner | 3/A | Series D 8% Convertible Preferred Stock Derivative · Direct · (m) | Holding | $0.50 exercise price | 2012-01-31 | ||
| 2012-01-27 holding as of filing | GOLDMAN NEAL I 10% Owner | 3 | Series D 8% Convertible Preferred Stock Derivative · Direct · (m) | Holding | $0.50 exercise price | 2012-01-27 | ||
| 2011-12-20 | GOLDMAN NEAL I 10% Owner | 5 | Series D 8% Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | $0.50 | 2012-02-02 | ||
| 2009-02-24 holding as of filing | TOLL BRUCE E 10% Owner | 3 | SERIES C CONVERTIBLE PREFERRED STOCK Derivative · Indirect · (m) | Holding | $0.50 exercise price | 2009-02-24 | ||
| 2009-02-24 holding as of filing | TOLL BRUCE E 10% Owner | 3 | SERIES D CONVERTIBLE PREFERRED STOCK Derivative · Direct · (m) | Holding | $0.50 exercise price | 2009-02-24 |