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