0001437749-16-038406.txt : 20160907 0001437749-16-038406.hdr.sgml : 20160907 20160907135120 ACCESSION NUMBER: 0001437749-16-038406 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160828 FILED AS OF DATE: 20160907 DATE AS OF CHANGE: 20160907 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DETERMINE, INC. CENTRAL INDEX KEY: 0001090908 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770432030 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 2121 SOUTH EL CAMINO REAL STREET 2: 10TH FLOOR CITY: SAN MATEO STATE: CA ZIP: 94403 BUSINESS PHONE: 650-532-1500 MAIL ADDRESS: STREET 1: 2121 SOUTH EL CAMINO REAL STREET 2: 10TH FLOOR CITY: SAN MATEO STATE: CA ZIP: 94403 FORMER COMPANY: FORMER CONFORMED NAME: SELECTICA INC DATE OF NAME CHANGE: 19991203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brodsky Michael CENTRAL INDEX KEY: 0001403388 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29637 FILM NUMBER: 161873099 MAIL ADDRESS: STREET 1: C/O NEW WORLD OPPORTUNITY PARTNERS I LLC STREET 2: 1603 ORRINGTON AVE, STE 1600 CITY: EVANSTON STATE: IL ZIP: 60201 4 1 rdgdoc.xml FORM 4 X0306 4 2016-08-28 0001090908 DETERMINE, INC. DTRM 0001403388 Brodsky Michael 615 WEST CARMEL DR., SUITE 100 CARMEL IN 46032 1 Common Stock 2016-08-28 4 A 0 50000 0 A 140514 D Common Stock 2016-09-02 4 A 0 37800 0 A 178314 D Common Stock 78343 I By Vajra Fund I, L.P. Stock Option (Right to buy) 1.80 2016-09-02 4 A 0 75600 0 A 2026-09-02 Common Stock 75600 230600 D Stock Option (Right to buy) 1.80 2016-09-02 4 A 0 100000 0 A 2026-09-02 Common Stock 100000 330600 D Warrant to Purchase Common Stock N/A 39171 I By Vajra Fund I, L.P. Grant of Restricted Stock Units that are fully vested as of the date of grant pursuant to that certain Amendment to Offer Letter dated August 28, 2015 by and between Determine, Inc. and Michael Brodsky. Grant of Restricted Stock Units that vest in equal monthly installments over a 12 month period pursuant to that certain Amendment to Offer Letter dated September 1, 2016 by and between Determine, Inc. and Michael Brodsky. The Restricted Stock Units will be subject to accelerated vesting in connection with a change in control of Determine, Inc. Issued in the name of Vajra Fund I, L.P. The reporting person is the General Partner of Vajra Fund I, L.P. Grant of stock options that vest in equal monthly installments over a 12 month period pursuant to that certain Amendment to Offer Letter dated September 1, 2016 by and between Determine, Inc. and Michael Brodsky. The options will be subject to accelerated vesting in connection with a change in control of Determine, Inc. Grant of stock options, 50% of which vest after two years and the balance of which vest in equal monthly installments over a 24 month period thereafter pursuant to that certain Amendment to Offer Letter dated September 1, 2016 by and between Determine, Inc. and Michael Brodsky. The options will be subject to accelerated vesting in connection with a change in control of Determine, Inc. N/A /s/ David Richardson 2016-09-07