-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UUzVXsegHaYf0OXslXOoGP7LCRTjEc/+i/yXZwTnjBP2ylIiquX1KiLR8j2P17yy 9GBHW22X9KJ6zkCUG4jGLw== 0001236377-10-000001.txt : 20100120 0001236377-10-000001.hdr.sgml : 20100120 20100120171346 ACCESSION NUMBER: 0001236377-10-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100116 FILED AS OF DATE: 20100120 DATE AS OF CHANGE: 20100120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MILLER S JAMES CENTRAL INDEX KEY: 0001236377 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15757 FILM NUMBER: 10536918 MAIL ADDRESS: STREET 1: 10883 THORNMINT ROAD CITY: SAN DIEGO STATE: CA ZIP: 92127 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: 10883 THORNMINT RD STREET 2: 619-673-8600 CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 6196738600 MAIL ADDRESS: STREET 1: 10883 THORNMINT RD CITY: SAN DIEGO STATE: CA ZIP: 92127 FORMER COMPANY: FORMER CONFORMED NAME: IMAGEWARE SOFTWARE INC DATE OF NAME CHANGE: 19991123 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2010-01-16 0 0000941685 IMAGEWARE SYSTEMS INC iwsy.pk 0001236377 MILLER S JAMES 10883 THORNMINT ROAD SAN DIEGO CA 92127 1 1 0 0 Chairman and CEO Stock Options 1.45 2010-01-16 4 D 0 100000 D 2018-01-02 Common Stock 100000 100000 D Stock Options 1.97 2010-01-16 4 D 0 25000 D 2013-05-29 Common Stock 25000 100000 D Stock Options 2.36 2010-01-16 4 D 0 109700 D 2015-09-27 Common Stock 109700 100000 D Stock Options 2.4 2010-01-16 4 D 0 100000 D 2014-10-29 Common Stock 100000 100000 D Stock Options 2.49 2010-01-16 4 D 0 18000 D 2017-04-03 Common Stock 18000 100000 D Stock Options 2.62 2010-01-16 4 D 0 100000 D 2015-08-16 Common Stock 100000 100000 D Stock Options 3 2010-01-16 4 D 0 75000 D 2011-09-12 Common Stock 75000 100000 D Restricted Stock 0 2010-01-16 4 A 0 316620 0 A Common Stock 316620 316620 D The cancelled options provided vesting of one third on 1/1/2009, and installments of one-eighth of the remainder per quarter over the following eight quarters thereafter. On January 16, 2010, the issuer cancelled, pursuant to the issuer's option exchange program, certain options granted to the reporting person on September 12, 2001, May 28, 2003, October 28, 2004, August 16, 2005, September 27, 2005, April 3, 2007, and January 2, 2008. In exchange for the options cancelled, the reporting person received a grant of 316,620 shares of restricted stock subject to a three-year vesting schedule, vesting one-twelfth on each quarterly anniversary of the grant date. The cancelled options provided vesting of one third on 5/28/2004, and installments of one-eighth of the remainder per quarter over the following eight quarters thereafter. The cancelled options provided vesting of one third on 9/27/2006, and installments of one-eighth of the remainder per quarter over the following eight quarters thereafter The cancelled options provided immediate vesting on 10/28/2004. The cancelled options provided vesting of one third on 4/2/2008, and installments of one-eighth of the remainder per quarter over the following eight quarters thereafter. The cancelled options provided vesting of one third on 8/16/2006, and installments of one-eighth of the remainder per quarter over the following eight quarters thereafter The cancelled options provided vesting of one third on 9/12/2002, and installments of one-eighth of the remainder per quarter over the following eight quarters thereafter. Not Applicable. Wayne G. Wetherell, Attorney in Fact for S. James Miller 2010-01-20 -----END PRIVACY-ENHANCED MESSAGE-----