IMAGEWARE SYSTEMS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-09-18: Reporting owner GOLDMAN NEAL I; Form 4/A; Security Warrant; Transaction Holding.
- 2012-09-18: Reporting owner GOLDMAN NEAL I; Form 4/A; Security Warrant; Transaction Holding.
- 2012-09-18: Reporting owner GOLDMAN NEAL I; Form 4/A; Security Warrant; Transaction Holding.
- 2012-09-18: Reporting owner GOLDMAN NEAL I; Form 4/A; Security Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-09-18 holding as of filing | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Direct · (m) | Holding | 300,000 owned after | $1.25 exercise price | 2012-09-18 | |
| 2012-09-18 holding as of filing | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Direct · (m) | Holding | 950,000 owned after | $0.50 exercise price | 2012-09-18 | |
| 2012-09-18 holding as of filing | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Indirect · (m) | Holding | 2,000,000 owned after | $0.50 exercise price | 2012-09-18 | |
| 2012-09-18 holding as of filing | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Indirect · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2012-09-18 | |
| 2012-09-18 holding as of filing | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Direct · (m) | Holding | 250,000 owned after | $0.50 exercise price | 2012-09-18 | |
| 2012-09-12 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 300,000 owned after | $1.25 exercise price | 2012-09-12 | |
| 2012-09-12 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 750,000 owned after | $0.50 exercise price | 2012-09-12 | |
| 2012-09-12 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,000,000 owned after | $0.50 exercise price | 2012-09-12 | |
| 2012-09-12 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2012-09-12 | |
| 2012-09-12 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 250,000 owned after | $0.50 exercise price | 2012-09-12 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,725,000 0 owned after | $0.50 | 2012-09-18 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −525,000 0 owned after | $0.50 | 2012-09-18 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,025,000 0 owned after | $0.50 | 2012-09-18 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4/A | Warrant Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,725,000 0 owned after | $0.50 | 2012-09-18 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,725,000 0 owned after | $0.50 | 2012-09-12 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −525,000 0 owned after | $0.50 | 2012-09-12 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −2,025,000 0 owned after | $0.50 | 2012-09-12 | |
| 2012-09-10 | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −1,725,000 0 owned after | $0.50 | 2012-09-12 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 300,000 owned after | $1.25 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 750,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,000,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,025,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 1,725,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-10 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 250,000 owned after | $0.50 exercise price | 2012-07-10 | |
| 2012-07-09 | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct | G Bona fide gift | −250,000 2,725,000 owned after | $0.50 | 2012-07-10 | |
| 2012-06-20 | TOLL BRUCE E 10% Owner | 4 | Warrant Derivative · Indirect · By BET Funding | X Exercise of in-the-money or at-the-money derivative security | −1,000,000 7,683,604 owned after | $0.50 exercise price | 2012-09-05 | |
| 2012-04-09 | TOLL BRUCE E 10% Owner | 4 | Warrant Derivative · Indirect · By BET Funding | X Exercise of in-the-money or at-the-money derivative security | −1,000,000 7,286,034 owned after | $0.50 exercise price | 2012-09-05 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 2,975,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 300,000 owned after | $1.25 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 750,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,000,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,025,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 1,725,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-04-02 holding as of filing | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2012-04-02 | |
| 2012-03-29 | GOLDMAN NEAL I 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +250,000 250,000 owned after | $0.50 | 2012-04-02 | |
| 2012-02-27 holding as of filing | Cronin John E Director | 3 | Warrant Derivative · Direct | Holding | $0.93 exercise price | 2012-02-27 | ||
| 2012-01-31 holding as of filing | GOLDMAN NEAL I 10% Owner | 3/A | Warrant Derivative · Indirect · (m) | Holding | $0.50 exercise price | 2012-01-31 | ||
| 2012-01-31 holding as of filing | GOLDMAN NEAL I 10% Owner | 3/A | Warrant Derivative · Direct · (m) | Holding | $0.50 exercise price | 2012-01-31 | ||
| 2012-01-27 holding as of filing | GOLDMAN NEAL I 10% Owner | 3 | Warrant Derivative · Indirect · (m) | Holding | $0.50 exercise price | 2012-01-27 | ||
| 2012-01-27 holding as of filing | GOLDMAN NEAL I 10% Owner | 3 | Warrant Derivative · Direct · (m) | Holding | $0.50 exercise price | 2012-01-27 |