SEC Form 4 · accession 0001415889-17-001551

IMAGEWARE SYSTEMS INC · IWSY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Sep 19, 2017

Accepted (ET)

Sep 21, 2017 · 9:46 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000941685

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series E Convertible Preferred Stock^F2,F1	$1.90	Sep 19, 2017	D	286	D	Feb 6, 2015	—	Common Stock	150,526	0	I
Series G Convertible Preferred Stock^F2,F1	$1.50	Sep 19, 2017	D	1,533	D	Dec 29, 2016	—	Common Stock	1,022,000	0	I
Series G Convertible Preferred Stock^F2,F1	$1.50	Sep 19, 2017	D	59	D	Dec 29, 2016	—	Common Stock	39,334	0	I
Series A Convertible Preferred Stock^F2,F3	$1.15	Sep 19, 2017	A	286	A	Sep 19, 2017	—	Common Stock	248,696	286	I
Series A Convertible Preferred Stock^F2,F3	$1.15	Sep 19, 2017	A	1,533	A	Sep 19, 2017	—	Common Stock	1,333,043	1,533	I
Series A Convertible Preferred Stock^F2,F3	$1.15	Sep 19, 2017	A	59	A	Sep 19, 2017	—	Common Stock	51,304	59	I
Series A Convertible Preferred Stock^F3	$1.15	Sep 19, 2017	P	250	A	Sep 19, 2017	—	Common Stock	217,391	250	I

F1Both 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.
F2Pursuant 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").
F3Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding.