Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CHARLES & COLVARD LTDCTHR · Entity 74397 | Director | August 21, 2025 | August 26, 2025 |
| IMAGEWARE SYSTEMS INCIWSY · Entity 125373 | 10% owner | March 24, 2022 | March 24, 2022 |
| Koil Energy Solutions, Inc.KLNG · Entity 2051 | Director | September 22, 2026 | September 24, 2026 |
| MILESTONE SCIENTIFIC INC.MLSS · Entity 7313 | Director | August 28, 2024 | August 30, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CHARLES & COLVARD LTD
Report date August 21, 2025 · Filed August 26, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock AwardSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 24,000 |
Reported balance
After 2025-08-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-08-21 · Grant · Acquired 24,000 · Balance 24,000 F1: The restricted stock was granted pursuant to the Charles & Colvard, Ltd. (the "Issuer") Fiscal 2026 Executive Incentive Program. The reporting person will elect within one week of the Issuer's filing of its Annual Report on Form 10-K for fiscal year ended June 30, 2025 to either receive (1) 65% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below and the remaining 35% of the restricted stock will be converted into a cash bonus award; or (2) 100% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below. However, the two options noted above can be changed for future vesting tranches no less than three months before such vesting event. F2: Represents restricted stock vesting quarterly over one year beginning October 1, 2025, however the October 1, 2025 and the January 1, 2026 tranches will both vest on January 1, 2026 for a total of 12,000 shares of restricted stock vesting on January 1, 2026, and the remaining two tranches will vest quarterly thereafter. |
| Common StockSEC Table I · non-derivative | Direct | 111,777 |
Reported balance
Holding disclosure · report date 2025-08-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 111,777 |
| Common StockSEC Table I · non-derivative | IndirectBy Neal Goldman IRA | 12,000 |
Reported balance
Holding disclosure · report date 2025-08-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 12,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock was granted pursuant to the Charles & Colvard, Ltd. (the "Issuer") Fiscal 2026 Executive Incentive Program. The reporting person will elect within one week of the Issuer's filing of its Annual Report on Form 10-K for fiscal year ended June 30, 2025 to either receive (1) 65% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below and the remaining 35% of the restricted stock will be converted into a cash bonus award; or (2) 100% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below. However, the two options noted above can be changed for future vesting tranches no less than three months before such vesting event.
F2: Represents restricted stock vesting quarterly over one year beginning October 1, 2025, however the October 1, 2025 and the January 1, 2026 tranches will both vest on January 1, 2026 for a total of 12,000 shares of restricted stock vesting on January 1, 2026, and the remaining two tranches will vest quarterly thereafter.
IMAGEWARE SYSTEMS INC
Report date March 24, 2022 · Filed March 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,554,406 |
Reported balance
After 2022-03-24 transaction · row 1
1 source rowRow 1 · 2022-03-24 · Sale · Disposed 3,473,361 · Balance 49,554,406 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.015 to $0.0182, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. |
| Common Stock (Indirect)SEC Table I · non-derivative | IndirectBy The Goldman Family 2012 GST Trust | 3,000,000 |
Reported balance
Holding disclosure · report date 2022-03-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,000,000 |
| Common Stock (Indirect)SEC Table I · non-derivative | Indirectheld in an individual retirement account | 11,361,077 |
Reported balance
Holding disclosure · report date 2022-03-24 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,361,077 |
| Common Stock (Indirect)SEC Table I · non-derivative | IndirectBy The Neal and Marlene Goldman Foundation | 147,700 |
Reported balance
Holding disclosure · report date 2022-03-24 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 147,700 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.015 to $0.0182, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.
Koil Energy Solutions, Inc.
Report date September 22, 2026 · Filed September 24, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 752,695 |
Reported balance
After 2026-09-22 transaction · row 1
1 source rowRow 1 · 2026-09-22 · Sale · Disposed 10,505 · Balance 752,695 |
MILESTONE SCIENTIFIC INC.
Report date August 28, 2024 · Filed August 30, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.001SEC Table I · non-derivative | Direct | 1,905,858 |
Reported balance
After 2024-08-28 transaction · row 1
1 source rowRow 1 · 2024-08-28 · Grant · Acquired 134,832 · Balance 1,905,858 F1: Represents the annual fee paid to non-employee directors of $120,000, payable in restricted shares of the Company's common stock one-fourth vesting upon the grant and the balance vesting in equal tranches over the next three quarters, October 1, 2024, January 1, 2025, and April 1, 2025 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the annual fee paid to non-employee directors of $120,000, payable in restricted shares of the Company's common stock one-fourth vesting upon the grant and the balance vesting in equal tranches over the next three quarters, October 1, 2024, January 1, 2025, and April 1, 2025
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
IPASS INC
Report date February 12, 2019 · Filed February 21, 2019
Section 16 reporting ended · disclosed 2019-02-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-02-12 transaction · row 1
1 source rowRow 1 · 2019-02-12 · Other · Disposed 111,876 · Balance 0 F1: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number). F2: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Neal and Marlene Goldman Foundation | 0 |
Reported balance
After 2019-02-12 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-02-12 · Other · Disposed 10,000 · Balance 0 F1: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number). F2: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number).
F2: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 2,913 | $1.03 | $3,000.39 |
DisclosureSEC source: 0001437749-20-013575 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 792,161 Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 20:05 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 3,609 | $0.83 | $2,995.47 |
DisclosureSEC source: 0001437749-19-023442 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 789,248 Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 20:05 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 3,191 | $0.94 | $2,999.54 |
DisclosureSEC source: 0001437749-19-023442 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 785,639 Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 20:05 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 6,522 | $0.46 | $3,000.12 |
DisclosureSEC source: 0001437749-19-023442 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 782,448 Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 21:51 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | GrantStock Option (right to buy) · Derivative | 39,007 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001104659-19-066691 · tv533386_form4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,007 Underlying: Common stock · 39,007 shares Expires 2029-11-21 F2 · shares: Option vests and becomes exercisable on the date of the 2020 Annual Shareholders' Meeting. Read SEC document |
| August 22, 2019 Filed Aug 29, 2019 17:24 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 24,733 | $0.37 | $9,151.21 |
DisclosureSEC source: 0001437749-19-017613 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 775,926 Read SEC document |
| June 24, 2019 Filed Jun 26, 2019 17:50 UTC | Koil Energy Solutions, Inc. DPDW · Entity 2051 | GrantSTOCK OPTIONS · Derivative | 50,000 | $0.75 Strike: $0.75 | $37,500.00 |
DisclosureSEC source: 0001683168-19-002020 · ownership.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: COMMON STOCK · 50,000 shares Expires 2024-06-24 F1 · derivative.exercise_date: Stock options subject to the Optionee's continuous service as a director through such date, twenty-five percent of the Shares on each of August 31, 2019, November 30, 2019, February 29, 2020 and May 31, 2020. In addition to the foregoing, all Shares shall vest immediately prior to a Change in Control. Read SEC document |
| February 20, 2019 Filed Feb 21, 2019 17:10 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantStock Options · Derivative | 10,000 | $0.87 Strike: $0.87 | $8,700.00 |
DisclosureSEC source: 0001415889-19-000202 · form4-02212019_020245.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2029-02-20 F1 · derivative.exercise_date: One third of the options will vest on the one-year anniversary of the grant date, with the remainder vesting equally in eight quarterly installments thereafter. Read SEC document |
| February 12, 2019 Filed Feb 21, 2019 17:32 UTC | IPASS INC ipas · Entity 160014 | OtherCommon Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001053374-19-000005 · primary_doc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Neal and Marlene Goldman Foundation Disclosed balance after: 0 F1 · shares: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number). F2 · price: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger. Read SEC document |
| February 12, 2019 Filed Feb 21, 2019 17:32 UTC | IPASS INC ipas · Entity 160014 | OtherCommon Stock | 111,876 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001053374-19-000005 · primary_doc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number). F2 · price: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger. Read SEC document |
| November 08, 2018 Filed Nov 9, 2018 22:17 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | GrantStock Option (right to buy) · Derivative | 55,005 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001144204-18-058826 · tv506876_4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,005 Underlying: Common stock · 55,005 shares Expires 2028-11-08 F2 · shares: Option vests and becomes exercisable on the date of the 2019 Annual Shareholders' Meeting. Read SEC document |
| September 10, 2018 Filed Sep 21, 2018 21:28 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantSeries A Convertible Preferred Stock · Derivative | 6,301 | Not disclosed Strike: $1.15 | Not disclosed |
DisclosureSEC source: 0001415889-18-001415 · form4-09212018_060908.xml · derivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,301 Underlying: Common Stock · 5,479,130 shares Expires not disclosed F4 · price: As of September 10, 2018, the aggregate outstanding amount due to the Reporting Person under the Convertible Line of Credit was $6,301,647, which amount included $801,647 of accrued but unpaid interest (the "Outstanding Amount"). On September 10, 2018, the Reporting Person and the Issuer entered into an Exchange Agreement, pursuant to which the Reporting Person agreed to terminate the Convertible Line of Credit and the Outstanding Amount in exchange for an aggregate of 6,301 shares of Series A Preferred. F6 · derivative.expiration_date: Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding. F7 · derivative.underlying_shares: Each share of Series A Preferred has a liquidation preference of $1,000 per share ("Liquidation Preference"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Liquidation Preference, divided by $1.15. Read SEC document |
| September 10, 2018 Filed Sep 21, 2018 21:28 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | Disposition to issuerConvertible Line of Credit · Derivative | Not disclosed | Not disclosed Strike: $1.25 | $5,500,000.00 |
DisclosureSEC source: 0001415889-18-001415 · form4-09212018_060908.xml · derivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,400,000 shares Expires 2018-12-31 F4 · reported_value: As of September 10, 2018, the aggregate outstanding amount due to the Reporting Person under the Convertible Line of Credit was $6,301,647, which amount included $801,647 of accrued but unpaid interest (the "Outstanding Amount"). On September 10, 2018, the Reporting Person and the Issuer entered into an Exchange Agreement, pursuant to which the Reporting Person agreed to terminate the Convertible Line of Credit and the Outstanding Amount in exchange for an aggregate of 6,301 shares of Series A Preferred. F4 · price: As of September 10, 2018, the aggregate outstanding amount due to the Reporting Person under the Convertible Line of Credit was $6,301,647, which amount included $801,647 of accrued but unpaid interest (the "Outstanding Amount"). On September 10, 2018, the Reporting Person and the Issuer entered into an Exchange Agreement, pursuant to which the Reporting Person agreed to terminate the Convertible Line of Credit and the Outstanding Amount in exchange for an aggregate of 6,301 shares of Series A Preferred. F5 · derivative.exercise_date: Amounts outstanding under the Convertible Line of Credit, including the principal balance and any accrued interest, are convertible at any time, at the sole option of the Reporting Person, into that number of shares of the Issuer's common stock equal to the outstanding amount, divided by $1.25 per share. Read SEC document |
| September 10, 2018 Filed Sep 21, 2018 21:28 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | OtherWarrant · Derivative | 376,128 | $0.00 Strike: $0.01 | $0.00 |
DisclosureSEC source: 0001415889-18-001415 · form4-09212018_060908.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,128 Underlying: Common Stock · 376,128 shares Expires 2028-09-10 F1 · kind: On September 10, 2018, the Issuer's Board of Directors declared a special dividend, payable to all holders of record of shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") as of September 10, 2018, pursuant to which the Reporting Person received the warrants reported herein. F1 · price: On September 10, 2018, the Issuer's Board of Directors declared a special dividend, payable to all holders of record of shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") as of September 10, 2018, pursuant to which the Reporting Person received the warrants reported herein. F2 · derivative.exercise_date: The warrants may only be exercised concurrently with the conversion of shares of Series A Preferred held by the Reporting Person into shares of the Issuer's common stock. F3 · derivative.expiration_date: The warrants will expire on the earliest to occur of (i) the conversion by the Reporting Person of all shares of Series A Preferred held by the Reporting Person into shares of the Issuer's common stock, (ii) the redemption by the Issuer of all outstanding shares of Series A Preferred held by the Reporting Person, (iii) the warrants no longer representing the right to purchase any shares of the Issuer's common stock, or (iv) the tenth anniversary of the date of issuance. Read SEC document |
| July 25, 2018 Filed Aug 1, 2018 18:56 UTC | IPASS INC IPAS · Entity 160014 | GrantCommon Stock | 218,765 | $0.00 | $0.00 |
DisclosureSEC source: 0001053374-18-000057 · wf-form4_153316416565215.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,118,765 F1 · shares: Represents a restricted stock unit award that vests in three equal annual installments commencing on July 25, 2019 Read SEC document |
| May 16, 2018 Filed May 17, 2018 21:14 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | GrantStock Option (right to buy) · Derivative | 22,357 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001144204-18-029586 · tv494533_4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,357 Underlying: Common stock · 22,357 shares Expires 2028-05-16 F2 · shares: As a result of the issuer's change in fiscal year end and the related shift in the 2018 Annual Shareholders' Meeting from May to November (the "Corporate Changes"), this option represents 50% of the annual option award prescribed by the issuer's board compensation program and vests and becomes exercisable on the date of the 2018 Annual Shareholders' Meeting. Also in connection with the Corporate Changes, the issuer's Board of Directors revised the vesting date of the prior option granted to the reporting person in May 2017 to be as of May 17, 2018 instead of the date of the 2018 Annual Shareholders' Meeting. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 17:29 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantStock Options · Derivative | 36,000 | $1.93 Strike: $1.93 | $69,300.00 |
DisclosureSEC source: 0001415889-18-000167 · form4-02022018_020240.xml · derivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,000 Underlying: Common Stock · 36,000 shares Expires 2028-01-31 F2 · derivative.exercise_date: Options issued in lieu of board fees in connection with the Reporting Person's service on the Issuer's Board of Directors. Options will begin vesting immediately, and will vest ratably over the next 12 months. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 17:29 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantStock Options · Derivative | 10,000 | $1.93 Strike: $1.93 | $19,250.00 |
DisclosureSEC source: 0001415889-18-000167 · form4-02022018_020240.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2028-01-31 F1 · derivative.exercise_date: One third of the options will vest on the one-year anniversary of the grant date, with the remainder vesting equally in eight quarterly installments thereafter. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 21:49 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | PurchaseSeries A Convertible Preferred Stock · Derivative | 855 | $1,000.00 Strike: $1.15 | $855,000.00 |
DisclosureSEC source: 0001415889-17-001555 · form4-09212017_060921.xml · derivative · entry 7 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,133 Underlying: Common Stock · 743,478 shares Expires not disclosed F4 · derivative.expiration_date: Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding. F5 · derivative.underlying_shares: Each share of Series A Preferred has a liquidation preference of $1,000 per share ("Liquidation Preference"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Liquidation Preference, divided by $1.15. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 21:49 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantSeries A Convertible Preferred Stock · Derivative | 2,278 | Not disclosed Strike: $1.15 | Not disclosed |
DisclosureSEC source: 0001415889-17-001555 · form4-09212017_060921.xml · derivative · entry 6 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,278 Underlying: Common Stock · 1,980,869 shares Expires not disclosed F3 · price: 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 held, in exchange for the same number of shares of Series A Convertible Preferred Stock ("Series A Preferred"). F4 · derivative.expiration_date: Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding. F5 · derivative.underlying_shares: Each share of Series A Preferred has a liquidation preference of $1,000 per share ("Liquidation Preference"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Liquidation Preference, divided by $1.15. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 21:49 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | Disposition to issuerSeries E Convertible Preferred Stock · Derivative | 2,278 | Not disclosed Strike: $1.90 | Not disclosed |
DisclosureSEC source: 0001415889-17-001555 · form4-09212017_060921.xml · derivative · entry 5 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,198,947 shares Expires not disclosed F3 · price: 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 held, in exchange for the same number of shares of Series A Convertible Preferred Stock ("Series A Preferred"). F2 · derivative.expiration_date: Shares of Series E Convertible Preferred Stock ("Series E Preferred") remain convertible so long as the shares remain issued and outstanding. Read SEC document |
| June 05, 2017 Filed Jun 6, 2017 00:33 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | PurchaseCommon Stock | 32,384 | $0.98 | $31,703.94 |
DisclosureSEC source: 0001144204-17-031115 · v468487_4.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,407 Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 00:33 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | PurchaseCommon Stock | 17,616 | $0.94 | $16,544.95 |
DisclosureSEC source: 0001144204-17-031115 · v468487_4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,023 Read SEC document |
| May 17, 2017 Filed Jun 6, 2017 00:33 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | GrantStock Option (right to buy) · Derivative | 61,111 | $0.00 Strike: $0.90 | $0.00 |
DisclosureSEC source: 0001144204-17-031115 · v468487_4.xml · derivative · entry 5 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,111 Underlying: Common stock · 61,111 shares Expires 2027-05-17 F2 · shares: Option vests and becomes exercisable on the date of the 2018 Annual Shareholders' Meeting. Read SEC document |
| May 09, 2017 Filed May 9, 2017 22:14 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | PurchaseCommon Stock | 25,000 | $0.92 | $23,000.00 |
DisclosureSEC source: 0001144204-17-025699 · v466567_4.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,407 Read SEC document |
| May 09, 2017 Filed May 9, 2017 22:14 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | PurchaseCommon Stock | 25,000 | $0.88 | $22,000.00 |
DisclosureSEC source: 0001144204-17-025699 · v466567_4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,407 Read SEC document |
| January 01, 2017 Filed Jan 3, 2017 22:15 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | GrantStock Option (right to buy) · Derivative | 45,454 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001144204-17-000243 · v456115_4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,454 Underlying: Common Stock · 45,454 shares Expires 2027-01-01 F2 · shares: This option vests and becomes exercisable on January 1, 2018. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 18:59 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantStock Options · Derivative | 24,000 | $1.37 Strike: $1.37 | $32,880.00 |
DisclosureSEC source: 0001415889-16-007217 · form4-09262016_030943.xml · derivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2026-09-22 F2 · derivative.exercise_date: Options issued in lieu of board fees in connection with the Reporting Person's service on the Issuer's Board of Directors. Options will vest ratably over a 12 month period beginning in January 2017. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 18:59 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantStock Options · Derivative | 10,000 | $1.37 Strike: $1.37 | $13,700.00 |
DisclosureSEC source: 0001415889-16-007217 · form4-09262016_030943.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2026-09-22 F1 · derivative.exercise_date: One third of the options will vest on the one-year anniversary of the grant date, with the remainder vesting equally in eight quarterly installments thereafter. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.