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, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-11-12: Reporting owner Nantahala Capital Management, LLC | Harkey Wilmot B. | Mack Daniel; Form 4; Security Series D Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-09-19: Reporting owner MILLER S JAMES; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-09-19: Reporting owner WETHERELL WAYNE G; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-09-19: Reporting owner GOLDMAN NEAL I; Form 4; Security Series A Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| 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 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 | 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 |