4//SEC Filing
Merriman Holdings, Inc 4
Accession 0001179110-12-008584
CIK 0000826683operating
Filed
May 16, 8:00 PM ET
Accepted
May 17, 5:46 PM ET
Size
11.2 KB
Accession
0001179110-12-008584
Insider Transaction Report
Form 4
SCHMAL DENNIS
Director
Transactions
- OtherSwap
Common Stock
2012-05-15$0.63/sh−135,629$85,446→ 7,402 total - OtherSwap
Series E Preferred Stock
2012-05-15+160,774→ 160,774 totalExercise: $0.63From: 2012-05-15→ Common Stock (160,774 underlying) - OtherSwap
Warrants to Purchase Common Stock
2012-05-15−10,750→ 0 totalExercise: $1.03From: 2011-11-16Exp: 2014-11-16→ Common Stock (10,750 underlying) - OtherSwap
Warrants to Purchase Common Stock
2012-05-15+80,387→ 80,387 totalExercise: $0.63From: 2012-05-15Exp: 2017-05-15→ Common Stock (80,387 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
Issuer
Merriman Holdings, Inc
CIK 0000826683
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000826683
Filing Metadata
- Form type
- 4
- Filed
- May 16, 8:00 PM ET
- Accepted
- May 17, 5:46 PM ET
- Size
- 11.2 KB