ITERIS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-09-28: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction J Other acquisition or disposition (describe transaction).
- 2006-09-28: Reporting owner MARXE AUSTIN W & GREENHOUSE DAVID M; Form 4; Security Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2006-07-26: Reporting owner Riley Investment Management LLC | RILEY BRYANT R | Riley Investment Partners Master Fund, L.P.; Form 5; Security Warrant to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2006-07-20: Reporting owner Riley Investment Management LLC | RILEY BRYANT R | Riley Investment Partners Master Fund, L.P.; Form 5; Security Warrant to Purchase Common Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2006-09-28 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | +1,192,913 0 owned after | $1.61 | 2006-10-02 | |
| 2006-09-28 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | P Open market or private purchase of non-derivative or derivative security | +235,004 235,004 owned after | $3.25 | 2006-10-02 | |
| 2006-07-26 | Riley Investment Management LLC | RILEY BRYANT R | Riley Investment Partners Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 5 | Warrant to Purchase Common Stock Derivative · Indirect · Footnote | X Exercise of in-the-money or at-the-money derivative security | −41,667 0 owned after | $1.50 exercise price | 2007-02-06 | |
| 2006-07-20 | Riley Investment Management LLC | RILEY BRYANT R | Riley Investment Partners Master Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 5 | Warrant to Purchase Common Stock Derivative · Indirect · Footnote | X Exercise of in-the-money or at-the-money derivative security | −183,333 0 owned after | $1.50 exercise price | 2007-02-06 | |
| 2006-01-10 holding as of filing | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 3 | Warrants Derivative · Indirect · By Limited Partnerships | Holding | $1.61 exercise price | 2006-01-10 |