IMAGEWARE SYSTEMS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-30: Reporting owner Hamm G Steve; Form 4; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-26: Reporting owner GOLDMAN NEAL I; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-12-02: Reporting owner GOLDMAN NEAL I; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2013-11-07: Reporting owner Hamm G Steve; Form 4; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-30 | Hamm G Steve Director | 4 | Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,636 0 owned after | $0.54 exercise price | 2014-01-02 | |
| 2013-12-26 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Indirect · By Individual Retirement Account beneficially owned by Neal Goldman | X Exercise of in-the-money or at-the-money derivative security | −525,000 0 owned after | $0.50 exercise price | 2013-12-27 | |
| 2013-12-02 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Indirect · By Goldman Partners LP | X Exercise of in-the-money or at-the-money derivative security | −2,000,000 0 owned after | $0.50 exercise price | 2013-12-03 | |
| 2013-11-07 | Hamm G Steve Director | 4 | Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,636 0 owned after | $0.55 exercise price | 2013-11-08 | |
| 2013-10-31 | LOESCH DAVID R Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,635 0 owned after | $0.50 exercise price | 2013-10-31 | |
| 2013-10-21 | MILLER S JAMES Director, Officer (CHIEF EXECUTIVE OFFICER) | 4/A | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −61,363 0 owned after | $0.50 exercise price | 2013-10-25 | |
| 2013-10-21 | MILLER S JAMES Director, Officer (CHIEF EXECUTIVE OFFICER) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −61,364 0 owned after | $0.54 exercise price | 2013-10-24 | |
| 2013-08-20 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −250,000 0 owned after | $0.50 exercise price | 2013-08-21 | |
| 2013-05-29 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −300,000 0 owned after | $1.25 exercise price | 2013-05-29 | |
| 2013-05-29 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 950,000 owned after | $0.50 exercise price | 2013-05-29 | |
| 2013-05-29 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,000,000 owned after | $0.50 exercise price | 2013-05-29 | |
| 2013-05-29 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2013-05-29 | |
| 2013-05-29 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 250,000 owned after | $0.50 exercise price | 2013-05-29 | |
| 2013-05-29 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 1,052,632 owned after | $0.95 exercise price | 2013-05-29 | |
| 2013-04-05 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 300,000 owned after | $1.25 exercise price | 2013-04-05 | |
| 2013-04-05 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 950,000 owned after | $0.50 exercise price | 2013-04-05 | |
| 2013-04-05 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 2,000,000 owned after | $0.50 exercise price | 2013-04-05 | |
| 2013-04-05 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | Holding | 525,000 owned after | $0.50 exercise price | 2013-04-05 | |
| 2013-04-05 holding as of filing | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct · (m) | Holding | 250,000 owned after | $0.50 exercise price | 2013-04-05 | |
| 2013-03-27 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,052,632 1,052,632 owned after | $0.95 exercise price | 2013-04-05 |