IMAGEWARE SYSTEMS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-08-11: Reporting owner LOESCH DAVID R; Form 4; Security Warrant; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-08-11: Reporting owner MILLER S JAMES; Form 4; Security Warrant; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-04-23: Reporting owner CROCKER CHARLES; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2014-04-23: Reporting owner GOLDMAN NEAL I; Form 4; Security Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-08-11 | LOESCH DAVID R Director | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,636 0 owned after | $0.50 exercise price | 2014-08-12 | |
| 2014-08-11 | MILLER S JAMES Director, Officer (CHAIRMAN AND CEO) | 4 | Warrant Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −61,364 0 owned after | $0.50 exercise price | 2014-08-12 | |
| 2014-04-23 | CROCKER CHARLES Director | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +88,889 88,889 owned after | $2.25 exercise price | 2014-04-25 | |
| 2014-04-23 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,052,632 0 owned after | $0.95 exercise price | 2014-04-25 | |
| 2014-04-23 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −450,000 0 owned after | $0.50 exercise price | 2014-04-25 | |
| 2014-04-23 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −88,889 88,889 owned after | $2.25 exercise price | 2014-04-25 | |
| 2014-03-12 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −500,000 450,000 owned after | $0.50 exercise price | 2014-03-14 | |
| 2014-03-12 | GOLDMAN NEAL I Director, 10% Owner | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +177,778 177,778 owned after | $2.25 exercise price | 2014-03-14 |