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Home/Filings/4/0001415889-17-001551
4//SEC Filing

Clutterbuck Robert T 4

Accession 0001415889-17-001551

CIK 0000941685other
View on SEC.govCompany Profile

Filed

Sep 20, 8:00 PM ET

Accepted

Sep 21, 9:46 PM ET

Size

19.0 KB

Accession

0001415889-17-001551

Insider Transaction Report

Form 4
Period: 2017-09-19
IMAGEWARE SYSTEMS INCIWSY
Clutterbuck Robert T
Director
Transactions
  • Disposition to Issuer

    Series G Convertible Preferred Stock

    2017-09-19−1,533→ 0 total(indirect: By Trust)
    Exercise: $1.50From: 2016-12-29→ Common Stock (1,022,000 underlying)
  • Award

    Series A Convertible Preferred Stock

    2017-09-19+286→ 286 total(indirect: By Trust)
    Exercise: $1.15From: 2017-09-19→ Common Stock (248,696 underlying)
  • Award

    Series A Convertible Preferred Stock

    2017-09-19+59→ 59 total(indirect: By 401(k))
    Exercise: $1.15From: 2017-09-19→ Common Stock (51,304 underlying)
  • Disposition to Issuer

    Series E Convertible Preferred Stock

    2017-09-19−286→ 0 total(indirect: By Trust)
    Exercise: $1.90From: 2015-02-06→ Common Stock (150,526 underlying)
  • Disposition to Issuer

    Series G Convertible Preferred Stock

    2017-09-19−59→ 0 total(indirect: By 401(k))
    Exercise: $1.50From: 2016-12-29→ Common Stock (39,334 underlying)
  • Award

    Series A Convertible Preferred Stock

    2017-09-19+1,533→ 1,533 total(indirect: By Trust)
    Exercise: $1.15From: 2017-09-19→ Common Stock (1,333,043 underlying)
  • Purchase

    Series A Convertible Preferred Stock

    2017-09-19$1000.00/sh+250$250,000→ 250 total(indirect: By IRA)
    Exercise: $1.15From: 2017-09-19→ Common Stock (217,391 underlying)
Footnotes (3)
  • [F1]Both Series E Convertible Preferred Stock ("Series E Preferred") and the Series G Convertible Preferred Stock ("Series G Preferred") remain convertible so long as the shares remain issued and outstanding.
  • [F2]Pursuant to the terms and conditions of an Exchange Agreement by and between the Reporting Person and the Issuer, the Reporting Person cancelled all shares of Series E Preferred and Series G Preferred held, in exchange for the same number of shares of Series A Convertible Preferred Stock ("Series A Preferred").
  • [F3]Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding.

Documents

1 file

Issuer

IMAGEWARE SYSTEMS INC

CIK 0000941685

→
Entity typeother

Related Parties

1
  • filerCIK 0001517579

Filing Metadata

Form type
4
Filed
Sep 20, 8:00 PM ET
Accepted
Sep 21, 9:46 PM ET
Size
19.0 KB
View on SEC.gov