SEC Form 4 · accession 0001209191-19-000812
DETERMINE, INC. · DTRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alimco Financial Corp
10% Owner
Period of report
Dec 31, 2018
Accepted (ET)
Jan 3, 2019 · 2:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001090908
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 178,457 | I | By Alimco Financial Corporation |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Junior Secured Convertible Promissory Note and PIK InterestF3,F1,F2,F4 | $3.00 | Dec 31, 2018 | J | 20,999 | A | Dec 16, 2015 | Dec 16, 2020 | Common Stock | 6,999 | 290,947 | I |
| Junior Secured Convertible Promissory Note and PIK InterestF3,F1,F2,F4 | $3.00 | Dec 31, 2018 | J | 36,172 | A | Dec 27, 2016 | Dec 27, 2021 | Common Stock | 12,057 | 421,663 | I |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of these securities except to the extent of it's pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this filing.
- F2Subject to adjustment for fractional shares.
- F3At the election of the Issuer, the quarterly interest payment has been paid as paid-in-kind interest compounded to the original principal amount of the Note.
- F4Includes all PIK interest on Junior Secured Convertible Promissory Note.