IMAGEWARE SYSTEMS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-10-05: Reporting owner TOLL BRUCE E; Form 4; Security WARRANT; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-08-25: Reporting owner LOESCH DAVID R; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-08-25: Reporting owner Hamm G Steve; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-08-25: Reporting owner MILLER S JAMES; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-10-05 | TOLL BRUCE E 10% Owner | 4 | WARRANT Derivative · Indirect · By BET Funding LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 8,428,895 owned after | $0.60 exercise price | 2009-10-09 | |
| 2009-08-25 | LOESCH DAVID R Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,636 27,272 owned after | $0.54 exercise price | 2009-08-27 | |
| 2009-08-25 | Hamm G Steve Director | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,636 27,272 owned after | $0.54 exercise price | 2009-08-27 | |
| 2009-08-25 | MILLER S JAMES Director, Officer (Chairman and CEO) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +61,364 122,727 owned after | $0.54 exercise price | 2009-08-27 | |
| 2009-08-01 | GOLDMAN NEAL I 10% Owner | 5 | Warrant Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +800,000 800,000 owned after | $0.50 | 2012-02-02 | |
| 2009-08-01 | GOLDMAN NEAL I 10% Owner | 5 | Warrant Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $0.50 | 2012-02-02 | |
| 2009-07-15 | GOLDMAN NEAL I 10% Owner | 5 | Warrant Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −200,000 0 owned after | $0.50 | 2012-02-02 | |
| 2009-07-15 | GOLDMAN NEAL I 10% Owner | 5 | Warrant Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −800,000 0 owned after | $0.50 | 2012-02-02 | |
| 2009-06-22 | TOLL BRUCE E 10% Owner | 4 | WARRANT Derivative · Indirect · By BET Funding LLC | P Open market or private purchase of non-derivative or derivative security | +1 7,244,600 owned after | $0.50 exercise price | 2009-06-26 | |
| 2009-06-09 | TOLL BRUCE E 10% Owner | 4 | WARRANT Derivative · Indirect · By BET Funding LLC | J Other acquisition or disposition (describe transaction) | +1 6,544,600 owned after | $0.50 exercise price | 2009-06-26 | |
| 2009-02-24 holding as of filing | TOLL BRUCE E 10% Owner | 3 | WARRANTS Derivative · Indirect · (m) | Holding | $2.14 exercise price | 2009-02-24 | ||
| 2009-02-24 holding as of filing | TOLL BRUCE E 10% Owner | 3 | WARRANTS Derivative · Indirect · (m) | Holding | $0.50 exercise price | 2009-02-24 | ||
| 2009-02-24 holding as of filing | TOLL BRUCE E 10% Owner | 3 | WARRANTS Derivative · Direct · (m) | Holding | $0.50 exercise price | 2009-02-24 | ||
| 2009-02-24 holding as of filing | TOLL BRUCE E 10% Owner | 3 | WARRANTS Derivative · Indirect · (m) | Holding | $0.50 exercise price | 2009-02-24 |