ISC8 INC. /DE Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-12-28: Reporting owner PEQUOT CAPITAL MANAGEMENT INC; Form 4; Security Series 1 Senior Subordinated Convertible Promissory Note; Transaction J Other acquisition or disposition (describe transaction).
- 2006-12-28: Reporting owner PEQUOT CAPITAL MANAGEMENT INC; Form 4; Security Series 2 Senior Subordinated Convertible Promissory Note; Transaction J Other acquisition or disposition (describe transaction).
- 2006-01-09: Reporting owner PEQUOT CAPITAL MANAGEMENT INC; Form 3; Security Series 1 Senior Subordinated Convertible Note; Transaction Holding.
- 2006-01-09: Reporting owner PEQUOT CAPITAL MANAGEMENT INC; Form 3; Security Series 2 Senior Subordinated Convertible Note; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-12-28 | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 6) | 4 | Series 1 Senior Subordinated Convertible Promissory Note Derivative · Indirect · Investment Adviser | J Other acquisition or disposition (describe transaction) | −0 0 owned after | $2.60 exercise price | 2007-01-03 | |
| 2006-12-28 | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 6) | 4 | Series 2 Senior Subordinated Convertible Promissory Note Derivative · Indirect · Investment Adviser | J Other acquisition or disposition (describe transaction) | −0 0 owned after | $2.60 exercise price | 2007-01-03 | |
| 2006-01-09 holding as of filing | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 1) | 3 | Series 1 Senior Subordinated Convertible Note Derivative · Indirect · Investment Advisor | Holding | $2.60 exercise price | 2006-01-09 | ||
| 2006-01-09 holding as of filing | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 1) | 3 | Series 2 Senior Subordinated Convertible Note Derivative · Indirect · Investment Advisor | Holding | $2.60 exercise price | 2006-01-09 |