0001415889-17-001551.txt : 20170921
0001415889-17-001551.hdr.sgml : 20170921
20170921214629
ACCESSION NUMBER: 0001415889-17-001551
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170919
FILED AS OF DATE: 20170921
DATE AS OF CHANGE: 20170921
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Clutterbuck Robert T
CENTRAL INDEX KEY: 0001517579
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15757
FILM NUMBER: 171096644
MAIL ADDRESS:
STREET 1: 200 PUBLIC SQUARE SUITE 2910
CITY: CLEVELAND
STATE: OH
ZIP: 44114
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: 10815 RANCHO BERNARDO RD.,
STREET 2: SUITE 310
CITY: SAN DIEGO
STATE: CA
ZIP: 92127
BUSINESS PHONE: 8586738600
MAIL ADDRESS:
STREET 1: 10815 RANCHO BERNARDO RD.,
STREET 2: SUITE 310
CITY: SAN DIEGO
STATE: CA
ZIP: 92127
FORMER COMPANY:
FORMER CONFORMED NAME: IMAGEWARE SOFTWARE INC
DATE OF NAME CHANGE: 19991123
4
1
form4-09212017_060917.xml
X0306
4
2017-09-19
0000941685
IMAGEWARE SYSTEMS INC
IWSY
0001517579
Clutterbuck Robert T
C/O IMAGEWARE SYSTEMS, INC.
10815 RANCHO BERNARDO RD., SUITE 310
SAN DIEGO
CA
92101
true
false
false
false
Series E Convertible Preferred Stock
1.90
2017-09-19
4
D
0
286
D
2015-02-06
Common Stock
150526
0
I
By the Robert T. Clutterbuck Trust
Series G Convertible Preferred Stock
1.50
2017-09-19
4
D
0
1533
D
2016-12-29
Common Stock
1022000
0
I
By the Robert T. Clutterbuck Trust
Series G Convertible Preferred Stock
1.50
2017-09-19
4
D
0
59
D
2016-12-29
Common Stock
39334
0
I
By 401K Plan FBO Robert T. Clutterbuck
Series A Convertible Preferred Stock
1.15
2017-09-19
4
A
0
286
A
2017-09-19
Common Stock
248696
286
I
By the Robert T. Clutterbuck Trust
Series A Convertible Preferred Stock
1.15
2017-09-19
4
A
0
1533
A
2017-09-19
Common Stock
1333043
1533
I
By the Robert T. Clutterbuck Trust
Series A Convertible Preferred Stock
1.15
2017-09-19
4
A
0
59
A
2017-09-19
Common Stock
51304
59
I
By 401K Plan FBO Robert T. Clutterbuck
Series A Convertible Preferred Stock
1.15
2017-09-19
4
P
0
250
1000
A
2017-09-19
Common Stock
217391
250
I
By Fidelity Roth IRA FBO Robert T. Clutterbuck
Both 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.
Pursuant 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").
Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding.
/s/ Wayne Wetherell, Attorney-in-Fact
2017-09-21