SEC Form 4 · accession 0001209191-17-026863
ITERIS, INC. · ITI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lloyd I Miller III
10% Owner
Period of report
Jun 6, 2016
Accepted (ET)
Apr 13, 2017 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000350868
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4,F5 | Jun 6, 2016 | G | 17,300 | $0.00 | D | 0 | I | By Milgrat (W9) |
| Common StockF6 | holding | — | — | — | 1,456,523 | I | By Milfam II L.P. | |
| Common StockF6 | holding | — | — | — | 372,175 | I | By Milfam I L.P. | |
| Common StockF6 | holding | — | — | — | 32,190 | I | By LIMFAM LLC | |
| Common StockF6 | holding | — | — | — | 100,000 | I | By Trust A-2 - Lloyd I. Miller | |
| Common StockF6 | holding | — | — | — | 57,720 | I | By Trust D - Lloyd I. Miller | |
| Common StockF1,F2,F3,F6,F7 | holding | — | — | — | 138,657 | I | By Trust C - Lloyd I. Miller | |
| Common StockF4 | holding | — | — | — | 42,743 | D | ||
| Common StockF6 | holding | — | — | — | 2,530,477 | I | By Trust A-4 - Lloyd I. Miller | |
| Common StockF6,F7 | holding | — | — | — | 155,057 | I | By Milgrat (W10) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 4, 2014, 328,314 securities held by Trust C were transferred to Milgrat (W9). Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13.
- F2On June 15, 2015, 155,057 securities held by Milgrat (W9) were transferred to Trust C. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13.
- F3On June 6, 2016, 138,657 securities held by Milgrat (W9) were transferred to Trust C. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13.
- F4On June 6, 2016, 17,300 securities held by Milgrat (W9) were transferred to Lloyd I. Miller, III. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13.
- F5On June 6, 2016, 17,300 securities held by Milgrat (W9) were disposed of by gift to a trust account of which the reporting person does not have any pecuniary interest and was exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-5.
- F6The reporting person disclaims beneficial ownership of these securities except to the extent of his 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.
- F7On October 27, 2015, 155,057 securities held by Trust C were transferred to Milgrat (W10). Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13.