ISC8 INC. /DE Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-02-17: Reporting owner SVB FINANCIAL GROUP; Form 5; Security Warrant (Right to Buy); Transaction Holding.
- 2013-09-26: Reporting owner Williams Simon; Form 3; Security Warrant; Transaction Holding.
- 2006-12-28: Reporting owner PEQUOT CAPITAL MANAGEMENT INC; Form 4; Security Common Stock Series 1 Warrants (Right-to-buy); Transaction J Other acquisition or disposition (describe transaction).
- 2006-12-28: Reporting owner PEQUOT CAPITAL MANAGEMENT INC; Form 4; Security Common Stock Series 2 Warrants (Right-to-buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-02-17 holding as of filing | SVB FINANCIAL GROUP 10% Owner | 5 | Warrant (Right to Buy) Derivative · Direct | Holding | 34,533,213 owned after | no price filed | 2015-02-17 | |
| 2013-09-26 holding as of filing | Williams Simon Director | 3 | Warrant Derivative · Direct | Holding | no price filed | 2013-09-26 | ||
| 2006-12-28 | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 6) | 4 | Common Stock Series 1 Warrants (Right-to-buy) Derivative · Indirect · Investment Adviser | J Other acquisition or disposition (describe transaction) | 0 owned after | $3.10 exercise price | 2007-01-03 | |
| 2006-12-28 | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 6) | 4 | Common Stock Series 2 Warrants (Right-to-buy) Derivative · Indirect · Investment Adviser | J Other acquisition or disposition (describe transaction) | 0 owned after | $3.10 exercise price | 2007-01-03 | |
| 2006-03-10 | CARSON JOHN C/ Director, Officer (President and CEO) | 4 | COMMON STOCK WARRANTS (RIGHT TO BUY) Derivative · Indirect · ISC ESBP Trust FBO John Carson | X Exercise of in-the-money or at-the-money derivative security | −117,727 0 owned after | $2.00 exercise price | 2006-03-10 | |
| 2006-01-09 holding as of filing | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 1) | 3 | Common Stock Series 1 Warrant (Right-to-buy) Derivative · Indirect · Investment Advisor | Holding | $3.10 exercise price | 2006-01-09 | ||
| 2006-01-09 holding as of filing | PEQUOT CAPITAL MANAGEMENT INC Other (See Footnote 1) | 3 | Common Stock Series 2 Warrant (Right-to-buy) Derivative · Indirect · Investment Advisor | Holding | $3.10 exercise price | 2006-01-09 |