SEC Form 4 · accession 0001437749-17-002601
DETERMINE, INC. · DTRM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Michael Gullard
Director
Period of report
Feb 14, 2017
Accepted (ET)
Feb 15, 2017 · 5:54 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 | Feb 14, 2017 | A | 14,881 | $0.00 | A | 57,182 | D | |
| Common StockF2 | holding | — | — | — | 10,715 | I | The Gullard Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $2.59 | Feb 14, 2017 | A | 5,000 | A | — | Feb 14, 2027 | Common Stock | 5,000 | 15,000 | D |
| Series B WarrantF4 | $7.75 | holding | — | — | — | Mar 12, 2013 | Mar 12, 2018 | Common Stock | 5,357 | 5,357 | I |
Explanation of responses
- F1Consists of Restricted Stock Units that vest on August 11, 2017.
- F2The reporting person is the Trustee of the Gullard Family Trust.
- F3Options vest in three equal installments on August 11, 2017, August 11, 2018 and August 11, 2019.
- F4The reporting person is the Trustee of The Gullard Family Trust.