0001104659-22-069421.txt : 20220608 0001104659-22-069421.hdr.sgml : 20220608 20220608192013 ACCESSION NUMBER: 0001104659-22-069421 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220603 FILED AS OF DATE: 20220608 DATE AS OF CHANGE: 20220608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nantahala Capital Management, LLC CENTRAL INDEX KEY: 0001472322 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15757 FILM NUMBER: 221004614 BUSINESS ADDRESS: STREET 1: 130 MAIN ST. STREET 2: 2ND FLOOR CITY: NEW CANAAN STATE: CT ZIP: 06840 BUSINESS PHONE: 203-404-1172 MAIL ADDRESS: STREET 1: 130 MAIN ST. STREET 2: 2ND FLOOR CITY: NEW CANAAN STATE: CT ZIP: 06840 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harkey Wilmot B. CENTRAL INDEX KEY: 0001775952 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15757 FILM NUMBER: 221004613 MAIL ADDRESS: STREET 1: C/O NANTAHALA CAPITAL MANAGEMENT, LLC STREET 2: 130 MAIN ST. 2ND FLOOR CITY: NEW CANAAN STATE: CT ZIP: 06840 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mack Daniel CENTRAL INDEX KEY: 0001775831 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15757 FILM NUMBER: 221004612 MAIL ADDRESS: STREET 1: C/O NANTAHALA CAPITAL MANAGEMENT, LLC STREET 2: 130 MAIN ST. 2ND FLOOR CITY: NEW CANAAN STATE: CT ZIP: 06840 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMAGEWARE SYSTEMS INC CENTRAL INDEX KEY: 0000941685 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330224167 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11440 W. BERNARDO COURT STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 8586738600 MAIL ADDRESS: STREET 1: 11440 W. BERNARDO COURT STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92127 FORMER COMPANY: FORMER CONFORMED NAME: IMAGEWARE SOFTWARE INC DATE OF NAME CHANGE: 19991123 4 1 tm2218038-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2022-06-03 0 0000941685 IMAGEWARE SYSTEMS INC IWSY 0001472322 Nantahala Capital Management, LLC 130 MAIN ST. 2ND FLOOR NEW CANAAN CT 06840 0 0 1 0 0001775952 Harkey Wilmot B. C/O NANTAHALA CAPITAL MANAGEMENT, LLC 130 MAIN ST. 2ND FLOOR NEW CANAAN CT 06840 0 0 1 0 0001775831 Mack Daniel C/O NANTAHALA CAPITAL MANAGEMENT, LLC 130 MAIN ST. 2ND FLOOR NEW CANAAN CT 06840 0 0 1 0 Series D Convertible Preferred Stock 0.0583 2022-06-03 4 J 0 2600 1000 A Common Stock 44596910 13274 I See Footnote Series D Convertible Preferred Stock ("Series D Preferred Stock") is convertible to Common Stock at the option of the holder at any time following three months from the acquisition date, or at the option of ImageWare upon the satisfaction of certain conditions. Series D Preferred Stock does not expire but is subject to certain redemption rights. The Series D Convertible Redeemable Preferred Stock is being exchanged for additional term loans under the Loan and Security Agreement dated December 29, 2021, as amended June 3, 2022, as further described in the 8-K filed by ImageWare on June 8, 2022. Nantahala Capital Management, LLC ("NCM"), as investment adviser to certain private funds and managed accounts that hold the ImageWare Systems, Inc. ("ImageWare") common stock ("Common Stock"), Series C Preferred Stock, and Series D Preferred Stock disclosed in this Form 4, may be deemed a beneficial owner of such securities. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of Common Stock, Series C Preferred Stock, and Series D Preferred Stock beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the ImageWare securities disclosed herein except to the extent of their respective pecuniary interests therein. NANTAHALA CAPITAL MANAGEMENT, LLC By: /s/ Taki Vasilakis, Chief Compliance Officer 2022-06-08 NANTAHALA CAPITAL MANAGEMENT, LLC By: /s/ Wilmot B. Harkey 2022-06-08 NANTAHALA CAPITAL MANAGEMENT, LLC By: /s/ Daniel Mack 2022-06-08