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Merriman Holdings, Inc·4

May 17, 5:26 PM ET

CHEZ RONALD L 4

4 · Merriman Holdings, Inc · Filed May 17, 2012

Insider Transaction Report

Form 4
Period: 2012-05-15
Merriman Holdings, IncMERR
CHEZ RONALD L
Director10% Owner
Transactions
  • OtherSwap

    Common Stock

    2012-05-15$0.63/sh−1,055,629$665,046→ 42,857 total
  • OtherSwap

    Warrants to Purchase Common Stock

    2012-05-15+630,697→ 630,697 total
    Exercise: $0.63From: 2012-05-15Exp: 2017-05-15→ Common Stock (630,697 underlying)
  • OtherSwap

    Warrants to Purchase Common Stock

    2012-05-15−48,906→ 0 total
    Exercise: $1.03From: 2012-05-15Exp: 2017-05-15→ CommonStock (48,906 underlying)
  • Other

    Series E Preferred Stock

    2012-05-15$0.63/sh+1,261,393$794,678→ 2,707,609 total
    Exercise: $0.63From: 2012-05-15→ Common Stock (723,483 underlying)
Footnotes (2)
  • [F1]Swap of Common Stock and warrants to purchse Common Stock originally issued in exchange for Secured Promisory Notes for Series E Preferred Stock and warrants to purchase Common Stock.
  • [F2]Series E Preferred Stock is convertable into Common Stock at any time with no expiration date.

Documents

1 file
  • 4
    edgar.xmlPrimary

    FORM 4 -