iSign Solutions Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows, 56 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-05-16: Reporting owner Engmann Michael W.; Form 4/A; Security Series D-1 Preferred; Transaction C Conversion of derivative security.
- 2016-05-16: Reporting owner Engmann Michael W.; Form 4/A; Security Series D-2 Preferred; Transaction C Conversion of derivative security.
- 2016-05-16: Reporting owner Engmann Michael W.; Form 4; Security Series D-1 Preferred; Transaction C Conversion of derivative security.
- 2016-05-16: Reporting owner Engmann Michael W.; Form 4; Security Series D-2 Preferred; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-05-16 | Engmann Michael W. Director, 10% Owner | 4/A | Series D-1 Preferred Derivative · Direct | C Conversion of derivative security | −2,431,305 0 owned after | $7.24 exercise price | 2016-09-08 | |
| 2016-05-16 | Engmann Michael W. Director, 10% Owner | 4/A | Series D-2 Preferred Derivative · Direct | C Conversion of derivative security | −142,711 0 owned after | $8.58 exercise price | 2016-09-08 | |
| 2016-05-16 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | C Conversion of derivative security | −2,431,305 0 owned after | $19.44 exercise price | 2016-09-08 | |
| 2016-05-16 | Engmann Michael W. Director, 10% Owner | 4 | Series D-2 Preferred Derivative · Direct | C Conversion of derivative security | −142,711 0 owned after | $12.96 exercise price | 2016-09-08 | |
| 2015-09-30 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | +130,284 2,291,788 owned after | $0.02 exercise price | 2015-12-03 | |
| 2015-09-30 | Engmann Michael W. Director, 10% Owner | 4 | Series D-2 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | +21,657 304,116 owned after | $0.05 exercise price | 2015-12-03 | |
| 2015-07-23 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200,000 2,161,504 owned after | $0.02 exercise price | 2015-12-03 | |
| 2015-03-24 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,961,504 owned after | $0.02 exercise price | 2015-12-03 | |
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred D-1 Derivative · Indirect · (m) | Holding | $0.02 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred D-1 Derivative · Direct · (m) | Holding | $0.02 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred D-1 Derivative · Indirect · (m) | Holding | $0.02 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred D-1 Derivative · Direct · (m) | Holding | $0.02 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred D-2 Derivative · Direct · (m) | Holding | $0.05 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred A-1 Derivative · Direct · (m) | Holding | $0.14 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred B Derivative · Direct · (m) | Holding | $0.04 exercise price | 2014-10-10 | ||
| 2014-10-10 holding as of filing | ENGMANN DOUGLAS JOE /BD 10% Owner | 3 | Convertible Preferred D-2 Derivative · Indirect · (m) | Holding | $0.05 exercise price | 2014-10-10 | ||
| 2014-08-05 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +400,000 893,308 owned after | $1.00 | 2015-12-03 | |
| 2013-12-31 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | +357,415 397,415 owned after | $0.02 exercise price | 2015-12-03 | |
| 2013-12-31 | Engmann Michael W. Director, 10% Owner | 4 | Series D-2 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | +178,707 338,707 owned after | $0.05 exercise price | 2015-12-03 | |
| 2013-12-31 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | +133,333 533,308 owned after | $0.02 exercise price | 2015-12-03 | |
| 2013-12-31 | Engmann Michael W. Director, 10% Owner | 4 | Series D-2 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | +66,667 415,616 owned after | $0.05 exercise price | 2015-12-03 | |
| 2013-12-31 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | −40,000 493,308 owned after | $0.02 exercise price | 2015-12-03 | |
| 2013-12-31 | Engmann Michael W. Director, 10% Owner | 4 | Series D-2 Preferred Derivative · Direct | J Other acquisition or disposition (describe transaction) | −160,000 255,616 owned after | $0.05 exercise price | 2015-12-03 | |
| 2013-05-17 | Engmann Michael W. Director, 10% Owner | 4 | Series D-1 Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $0.02 exercise price | 2015-12-03 | |
| 2013-05-17 | Engmann Michael W. Director, 10% Owner | 4 | Series D-2 Preferred Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +160,000 160,000 owned after | $0.05 exercise price | 2015-12-03 | |
| 2012-12-19 | Engmann Michael W. 10% Owner | 5 | Series B Preferred Stock Derivative · Direct | G Bona fide gift | −946,589 196,664 owned after | $0.04 exercise price | 2013-02-13 | |
| 2012-12-19 | Engmann Michael W. 10% Owner | 5 | Series C Preferred Stock Derivative · Direct | G Bona fide gift | −115,924 2,605 owned after | $0.02 exercise price | 2013-02-13 | |
| 2011-11-03 holding as of filing | Gilbert Stanley Director | 3 | Series B Convertable Preferred Stock Derivative · Direct | Holding | $0.04 exercise price | 2011-11-03 | ||
| 2011-11-03 holding as of filing | Gilbert Stanley Director | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | $0.02 exercise price | 2011-11-03 | ||
| 2011-08-11 | KEIPER WILLIAM Officer (President) | 4 | Seriec C Participating Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +97,500 97,500 owned after | $1.00 | 2011-11-04 | |
| 2011-03-31 | KEIPER WILLIAM Officer (Acting President) | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +668 668 owned after | $1.00 | 2011-04-13 | |
| 2011-03-31 | SASSOWER PHILIP S Director, Officer (Chairman and CEO) | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +35,000 35,000 owned after | $1.00 | 2011-04-04 | |
| 2011-03-31 | Goren Andrea Director, Officer (Acting Chief Financial Officer) | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnote 5 | P Open market or private purchase of non-derivative or derivative security | +6,250 5,000 owned after | $1.00 | 2011-04-04 | |
| 2011-03-06 | KEIPER WILLIAM Officer (Acting President) | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +97,500 97,500 owned after | $1.00 | 2011-04-13 | |
| 2011-01-24 holding as of filing | MDNH PARTNERS LP | Kendu Partners | Engmann Michael W. 10% Owner | 10% Owner | 10% Owner | 3/A | Series A-1 Preferred Stock Derivative · Direct | Holding | $0.14 exercise price | 2011-01-24 | ||
| 2011-01-24 holding as of filing | MDNH PARTNERS LP | Kendu Partners | Engmann Michael W. 10% Owner | 10% Owner | 10% Owner | 3/A | Series A-1 Preferred Stock Derivative · Direct | Holding | $0.14 exercise price | 2011-01-24 | ||
| 2011-01-24 holding as of filing | MDNH PARTNERS LP | Kendu Partners | Engmann Michael W. 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2011-01-24 | ||
| 2011-01-24 holding as of filing | MDNH PARTNERS LP | Kendu Partners | Engmann Michael W. 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2011-01-24 | ||
| 2011-01-20 holding as of filing | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | $0.14 exercise price | 2011-01-20 | ||
| 2011-01-20 holding as of filing | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | $0.14 exercise price | 2011-01-20 | ||
| 2011-01-20 holding as of filing | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | $0.14 exercise price | 2011-01-20 | ||
| 2011-01-20 holding as of filing | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2011-01-20 | ||
| 2011-01-20 holding as of filing | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2011-01-20 | ||
| 2011-01-20 holding as of filing | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | $0.06 exercise price | 2011-01-20 | ||
| 2010-12-31 | Kendu Partners | Engmann Michael W. | MDNH PARTNERS LP 10% Owner | 10% Owner | 10% Owner | 4/A | Series C Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $0.23 exercise price | 2011-01-24 | |
| 2010-12-31 | Engmann Michael W. | MDNH PARTNERS LP | Kendu Partners 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $0.23 exercise price | 2011-01-20 | |
| 2010-12-31 | Engmann Michael W. | MDNH PARTNERS LP | Kendu Partners 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $0.23 exercise price | 2011-01-20 | |
| 2010-12-31 | Goren Andrea | SASSOWER PHILIP S | SG PHOENIX VENTURES LLC | Phoenix Venture Fund LLC Director, 10% Owner | Director, Officer, 10% Owner | 10% Owner | 10% Owner | 4 | Series C Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,200,000 1,200,000 owned after | $1.00 | 2011-01-04 | |
| 2010-12-31 | Goren Andrea Director, 10% Owner | 4 | Series C Participating Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +5,000 5,000 owned after | $1.00 | 2011-01-04 | |
| 2010-08-17 holding as of filing | Goren Andrea Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Phoenix Venture Fund LLC | Holding | $0.06 exercise price | 2010-08-17 | ||
| 2010-08-17 holding as of filing | Goren Andrea Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By SG Phoenix Ventures LLC | Holding | $0.06 exercise price | 2010-08-17 | ||
| 2010-08-17 holding as of filing | Goren Andrea Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Andax LLC | Holding | $0.06 exercise price | 2010-08-17 | ||
| 2010-08-17 holding as of filing | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Phoenix Venture Fund LLC | Holding | $0.06 exercise price | 2010-08-17 | ||
| 2010-08-17 holding as of filing | SASSOWER PHILIP S Director, Officer (Chief Executive Officer), 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By SG Phoenix Ventures LLC | Holding | $0.06 exercise price | 2010-08-17 | ||
| 2010-08-05 | SASSOWER PHILIP S | Phoenix Venture Fund LLC | Goren Andrea | SG PHOENIX VENTURES LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Participating Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +600,000 600,000 owned after | $1.00 | 2010-08-09 | |
| 2010-08-05 | SASSOWER PHILIP S | Phoenix Venture Fund LLC | Goren Andrea | SG PHOENIX VENTURES LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Participating Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,105,042 4,705,042 owned after | $1.00 | 2010-08-09 |