VIKING SYSTEMS INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows, 25 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-08-28: Reporting owner BOPP WILLIAM C; Form 4; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-08-28: Reporting owner BOPP WILLIAM C; Form 4; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-05-09: Reporting owner BOPP WILLIAM C; Form 4; Security Warrants; Transaction Holding.
- 2011-06-17: Reporting owner BOPP WILLIAM C; Form 4; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-08-28 | BOPP WILLIAM C Director | 4 | Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,800,024 1,965,768 owned after | $0.18 exercise price | 2012-08-30 | |
| 2012-08-28 | BOPP WILLIAM C Director | 4 | Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,965,768 0 owned after | $0.18 exercise price | 2012-08-30 | |
| 2012-05-09 holding as of filing | BOPP WILLIAM C Director, 10% Owner | 4 | Warrants Derivative · Direct | Holding | 11,765,792 owned after | $0.18 exercise price | 2012-05-09 | |
| 2011-06-17 holding as of filing | BOPP WILLIAM C Director, 10% Owner | 4 | Warrants Derivative · Direct | Holding | 11,765,792 owned after | $0.18 exercise price | 2011-06-17 | |
| 2011-05-04 | MIDSUMMER INVESTMENT LTD 10% Owner | 4 | Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,800,007 0 owned after | $0.06 | 2011-05-18 | |
| 2011-05-04 | MIDSUMMER INVESTMENT LTD 10% Owner | 4 | Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −644,848 0 owned after | $0.06 | 2011-05-18 | |
| 2011-05-04 | MIDSUMMER INVESTMENT LTD 10% Owner | 4 | Warrants Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,106,179 0 owned after | $0.06 | 2011-05-18 | |
| 2010-07-16 holding as of filing | BOPP WILLIAM C Director, 10% Owner | 4 | Warrants Derivative · Direct | Holding | 11,765,792 owned after | $0.18 exercise price | 2010-07-16 | |
| 2009-11-20 holding as of filing | HUGHES J WINDER Other (Please See Remark (A)) | 4 | Warrants Derivative · Direct | Holding | 2,804,124 owned after | $0.18 exercise price | 2009-11-20 | |
| 2009-10-21 holding as of filing | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4 | Warrants Derivative · Direct | Holding | 11,765,792 owned after | $0.18 exercise price | 2009-10-21 | |
| 2008-02-29 holding as of filing | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4 | Warrants Derivative · Direct | Holding | 11,765,792 owned after | $0.18 exercise price | 2008-02-29 | |
| 2008-01-16 holding as of filing | MIDSUMMER INVESTMENT LTD 10% Owner | 3 | Warrants Derivative · Direct | Holding | $0.18 exercise price | 2008-01-16 | ||
| 2008-01-09 holding as of filing | HUGHES J WINDER Director, 10% Owner | 4 | Warrants Derivative · Indirect · The Focus Fund L.P. | Holding | 2,804,123 owned after | $0.18 exercise price | 2008-01-09 | |
| 2008-01-04 | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4/A | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,800,024 9,800,024 owned after | $0.36 exercise price | 2008-01-18 | |
| 2008-01-04 | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4/A | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,965,767 11,765,791 owned after | $0.36 exercise price | 2008-01-18 | |
| 2008-01-04 | HUGHES J WINDER Director, 10% Owner | 4 | Warrants Derivative · Indirect · The Focus Fund L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,400,004 1,400,004 owned after | $0.18 exercise price | 2008-01-09 | |
| 2008-01-04 | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,800,024 9,800,024 owned after | $0.18 exercise price | 2008-01-08 | |
| 2008-01-04 | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,965,767 11,765,791 owned after | $0.18 exercise price | 2008-01-08 | |
| 2007-11-28 holding as of filing | BOPP WILLIAM C Director, 10% Owner | 3 | Warrants Derivative · Direct | Holding | $0.12 exercise price | 2007-11-28 | ||
| 2007-11-28 holding as of filing | HUGHES J WINDER Director, 10% Owner | 3 | Warrants 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 | Warrants Derivative · Indirect · The Focus Fund L.P. | Holding | $0.12 exercise price | 2007-11-28 | ||
| 2006-10-30 holding as of filing | MILLER BRIAN M Director | 3/A | Warrant Derivative · Indirect · (m) | Holding | $0.35 exercise price | 2006-10-30 | ||
| 2006-10-10 holding as of filing | MILLER BRIAN M Director | 3 | warrant Derivative · Indirect · (m) | Holding | $0.35 exercise price | 2006-10-10 | ||
| 2006-07-31 | MILLER BRIAN M Director | 4 | warrant Derivative · Indirect · family trust | P Open market or private purchase of non-derivative or derivative security | +1 2,519,999 owned after | $0.18 | 2007-08-02 | |
| 2005-03-22 | TUCKER DONALD E 10% Owner | 4 | warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +625,000 625,000 owned after | $0.40 | 2006-08-04 |