VIKING SYSTEMS INC Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-11-28: Reporting owner BOPP WILLIAM C; Form 3; Security Convertible Debenture; Transaction Holding.
- 2007-11-28: Reporting owner HUGHES J WINDER; Form 3; Security Convertible Debenture; Transaction Holding.
- 2007-11-28: Reporting owner HUGHES J WINDER; Form 3; Security Convertible Debenture; Transaction Holding.
- 2006-07-30: Reporting owner MILLER BRIAN M; Form 4; Security convertible debenture; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-11-28 holding as of filing | BOPP WILLIAM C Director, 10% Owner | 3 | Convertible Debenture Derivative · Direct | Holding | $0.12 exercise price | 2007-11-28 | ||
| 2007-11-28 holding as of filing | HUGHES J WINDER Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · The Focus Fund L.P. | Holding | $0.12 exercise price | 2007-11-28 | ||
| 2007-11-28 holding as of filing | HUGHES J WINDER Director, 10% Owner | 3 | Convertible Debenture Derivative · Indirect · The Focus Fund L.P. | Holding | $0.12 exercise price | 2007-11-28 | ||
| 2006-07-30 | MILLER BRIAN M Director | 4 | convertible debenture Derivative · Indirect · family trust | P Open market or private purchase of non-derivative or derivative security | +1 1,964,444 owned after | $0.18 | 2007-08-02 | |
| 2005-03-22 | TUCKER DONALD E 10% Owner | 4 | convertible promissory note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500,000 2,500,000 owned after | $0.20 | 2006-08-04 |