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