Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | 10% owner | June 06, 2025 | June 09, 2025 |
| GUE Liquidation Companies, Inc.FTD · Entity 152300 | 10% owner | June 13, 2019 | June 17, 2019 |
| IMAGEWARE SYSTEMS INCIWSY · Entity 125373 | 10% owner | July 13, 2022 | July 15, 2022 |
| TALPHERA, INC.TLPH · Entity 7102 | 10% owner · See remarks | March 13, 2026 | March 17, 2026 |
| VIVEVE MEDICAL, INC.VIVE · Entity 11899 | 10% owner | April 25, 2019 | May 07, 2019 |
| Xtant Medical Holdings, Inc.XTNT · Entity 7196 | 10% owner | April 10, 2025 | April 17, 2025 |
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.
AYTU BIOPHARMA, INC
Report date June 06, 2025 · Filed June 09, 2025
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Prefunded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 4,815,217 |
Reported balance
After 2025-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-06-06 · Purchase · Acquired 4,000,000 · Balance 4,815,217 F1: Subject to certain limits on beneficial ownership, the Prefunded Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Prefunded Warrants do not expire until exercised in full. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to certain limits on beneficial ownership, the Prefunded Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Prefunded Warrants do not expire until exercised in full.
F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein.
GUE Liquidation Companies, Inc.
Report date June 13, 2019 · Filed June 17, 2019
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnotes (2)(3) below | 710,763 |
Reported balance
After 2019-06-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-06-13 · Sale · Disposed 3,000,000 · Balance 710,763 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.04 to $0.67, inclusive. The Reporting Persons undertake to provide to FTD Companies, Inc. (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 sold at each separate price within the ranges set forth in footnotes (1) and (4) to this Form 4. |
| Common Stock par value $0.0001 per shareSEC Table I · non-derivative | IndirectSee footnotes (2)(3) below | 0 |
Reported balance
After 2019-06-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-06-14 · Sale · Disposed 710,763 · Balance 0 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0375 to $0.0433, inclusive. |
| Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.50 · Expires 2019-06-21 | IndirectSee Footnotes | 0 |
Reported balance
After 2019-06-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-06-14 · Sale · Disposed 2,500 · Balance 0 F2: Nantahala Capital Management, LLC ("NCM") may have been deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser. F3: Mr. Wilmot B. Harkey and Mr. Daniel Mack may have been deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM, Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
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 $0.04 to $0.67, inclusive. The Reporting Persons undertake to provide to FTD Companies, Inc. (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 sold at each separate price within the ranges set forth in footnotes (1) and (4) to this Form 4.
F2: Nantahala Capital Management, LLC ("NCM") may have been deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser.
F3: Mr. Wilmot B. Harkey and Mr. Daniel Mack may have been deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM, Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0375 to $0.0433, inclusive.
IMAGEWARE SYSTEMS INC
Report date July 13, 2022 · Filed July 15, 2022
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.06 | IndirectSee Footnote | 13,278 |
Reported balance
After 2022-07-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-07-13 · Other · Disposed 150 · Balance 13,278 F1: 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. F2: 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 and July 13, 2022. F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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 and July 13, 2022.
F3: 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.
TALPHERA, INC.
Report date March 13, 2026 · Filed March 17, 2026
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Pre-Funded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee Footnote | 18,822,267 |
Reported balance
After 2026-03-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-03-13 · Grant · Acquired 4,266,211 · Balance 18,822,267 F1: This Form 4 discloses the acquisition of pre-paid warrants to purchase shares of Talphera, Inc. common stock ("Common Stock"), which warrants are substantially similar to other warrants beneficially owned by the Reporting Persons; all such warrants are together referred to as the "Warrants." The Warrants are exercisable indefinitely. F2: NCM, an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including Warrants, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 discloses the acquisition of pre-paid warrants to purchase shares of Talphera, Inc. common stock ("Common Stock"), which warrants are substantially similar to other warrants beneficially owned by the Reporting Persons; all such warrants are together referred to as the "Warrants." The Warrants are exercisable indefinitely.
F2: NCM, an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including Warrants, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.
VIVEVE MEDICAL, INC.
Report date April 25, 2019 · Filed May 07, 2019 · Amendment
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectPlease see footnotes below. | 6,581,465 |
Reported balance
Holding disclosure · report date 2019-04-25 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 6,581,465 F1: Nantahala Capital Management, LLC ("NCM") may be deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser. F2: Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM and Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Nantahala Capital Management, LLC ("NCM") may be deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser.
F2: Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM and Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein.
Xtant Medical Holdings, Inc.
Report date April 10, 2025 · Filed April 17, 2025
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B., Nantahala Capital Partners Limited Partnership
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 68,394,000 |
Reported balance
Holding disclosure · report date 2025-04-10 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 68,394,000 F1: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Xtant Medical Holdings, Inc. ("Issuer") common stock ("Common Stock"), par value $0.000001 per share, disclosed in this statement, may be deemed a beneficial owner of such shares of Common Stock, including 16,380,396 shares of Common Stock held and beneficially owned by Nantahala Capital Partners Limited Partnership ("NCP"). Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of Issuer securities beneficially owned by NCM. Each of NCP, NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Xtant Medical Holdings, Inc. ("Issuer") common stock ("Common Stock"), par value $0.000001 per share, disclosed in this statement, may be deemed a beneficial owner of such shares of Common Stock, including 16,380,396 shares of Common Stock held and beneficially owned by Nantahala Capital Partners Limited Partnership ("NCP"). Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of Issuer securities beneficially owned by NCM. Each of NCP, NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Evoke Pharma Inc
Report date December 17, 2025 · Filed December 19, 2025
Jointly reported with Nantahala Capital Management, LLC, Harkey Wilmot B.
Section 16 reporting ended · disclosed 2025-12-19. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2025-12-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-12-17 · Other · Disposed 148,153 · Balance 0 F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
| Prefunded WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2029-02-13 | IndirectSee Footnote | 0 |
Reported balance
After 2025-12-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-12-17 · Other · Disposed 433,962 · Balance 0 F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
| Series A Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.16 · Expires 2029-02-13 | IndirectSee Footnote | 0 |
Reported balance
After 2025-12-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-12-17 · Other · Disposed 117,019 · Balance 0 F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
| Series C Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.16 · Expires 2029-02-13 | IndirectSee Footnote | 0 |
Reported balance
After 2025-12-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-12-17 · Other · Disposed 117,019 · Balance 0 F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
| Amended Series A Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2029-02-13 | IndirectSee Footnote | 0 |
Reported balance
After 2025-12-17 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-12-17 · Other · Disposed 158,531 · Balance 0 F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
| Amended Series C Common Stock Purchase WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2029-02-13 | IndirectSee Footnote | 0 |
Reported balance
After 2025-12-17 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-12-17 · Other · Disposed 250,627 · Balance 0 F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC.
F2: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein.
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 |
|---|---|---|---|---|---|---|
| March 13, 2026 Filed Mar 17, 2026 16:30 UTC | TALPHERA, INC. TLPH · Entity 7102 | GrantPre-Funded Warrants · Derivative | 4,266,211 | $0.59 Strike: $0.00 | $2,495,733.44 |
DisclosureSEC source: 0001104659-26-029524 · tm269082-1_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner · See remarks Mack Daniel · CIK 0001775831 · 10% owner · See remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 18,822,267 Underlying: Common Stock · 4,266,211 shares Expires not disclosed F1 · derivative.exercise_date: This Form 4 discloses the acquisition of pre-paid warrants to purchase shares of Talphera, Inc. common stock ("Common Stock"), which warrants are substantially similar to other warrants beneficially owned by the Reporting Persons; all such warrants are together referred to as the "Warrants." The Warrants are exercisable indefinitely. F1 · derivative.expiration_date: This Form 4 discloses the acquisition of pre-paid warrants to purchase shares of Talphera, Inc. common stock ("Common Stock"), which warrants are substantially similar to other warrants beneficially owned by the Reporting Persons; all such warrants are together referred to as the "Warrants." The Warrants are exercisable indefinitely. F2 · ownership.nature: NCM, an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including Warrants, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 16:15 UTC | Evoke Pharma Inc EVOK · Entity 71094 | OtherAmended Series C Common Stock Purchase Warrants · Derivative | 250,627 | $10.99 Strike: $0.01 | $2,754,390.73 |
DisclosureSEC source: 0001104659-25-123156 · tm2533999-1_4seq1.xml · derivative · entry 6 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 250,627 shares Expires 2029-02-13 F1 · kind: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F1 · price: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 16:15 UTC | Evoke Pharma Inc EVOK · Entity 71094 | OtherAmended Series A Common Stock Purchase Warrants · Derivative | 158,531 | $10.99 Strike: $0.01 | $1,742,255.69 |
DisclosureSEC source: 0001104659-25-123156 · tm2533999-1_4seq1.xml · derivative · entry 5 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 158,531 shares Expires 2029-02-13 F1 · kind: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F1 · price: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 16:15 UTC | Evoke Pharma Inc EVOK · Entity 71094 | OtherSeries C Common Stock Purchase Warrants · Derivative | 117,019 | $4.71 Strike: $8.16 | $551,159.49 |
DisclosureSEC source: 0001104659-25-123156 · tm2533999-1_4seq1.xml · derivative · entry 4 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 117,019 shares Expires 2029-02-13 F1 · kind: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F1 · price: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 16:15 UTC | Evoke Pharma Inc EVOK · Entity 71094 | OtherSeries A Common Stock Purchase Warrants · Derivative | 117,019 | $4.71 Strike: $8.16 | $551,159.49 |
DisclosureSEC source: 0001104659-25-123156 · tm2533999-1_4seq1.xml · derivative · entry 3 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 117,019 shares Expires 2029-02-13 F1 · kind: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F1 · price: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 16:15 UTC | Evoke Pharma Inc EVOK · Entity 71094 | OtherPrefunded Warrants · Derivative | 433,962 | $11.00 Strike: $0.00 | $4,773,148.04 |
DisclosureSEC source: 0001104659-25-123156 · tm2533999-1_4seq1.xml · derivative · entry 2 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 433,962 shares Expires 2029-02-13 F1 · kind: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F1 · price: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| December 17, 2025 Filed Dec 19, 2025 16:15 UTC | Evoke Pharma Inc EVOK · Entity 71094 | OtherCommon Stock | 148,153 | $11.00 | $1,629,683.00 |
DisclosureSEC source: 0001104659-25-123156 · tm2533999-1_4seq1.xml · nonDerivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: These securities were disposed of for cash in or in connection with the merger of Evoke Pharma Inc with QOL-EOS Merger Sub, Inc., a wholly owned subsidiary of QOL Medical, LLC. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 06, 2025 Filed Jun 9, 2025 16:31 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | PurchasePrefunded Warrants · Derivative | 4,000,000 | $1.50 Strike: $0.00 | $5,999,600.00 |
DisclosureSEC source: 0001104659-25-057852 · tm2517486-1_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 4,815,217 Underlying: Common Stock · 4,000,000 shares Expires not disclosed F1 · derivative.exercise_date: Subject to certain limits on beneficial ownership, the Prefunded Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Prefunded Warrants do not expire until exercised in full. F1 · derivative.expiration_date: Subject to certain limits on beneficial ownership, the Prefunded Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Prefunded Warrants do not expire until exercised in full. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 31, 2025 Filed Apr 2, 2025 19:21 UTC | TALPHERA, INC. TLPH · Entity 7102 | GrantPre-Funded Warrants · Derivative | 4,266,211 | $0.59 Strike: $0.00 | $2,495,733.44 |
DisclosureSEC source: 0001104659-25-031315 · tm2511376-1_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner · See remarks Mack Daniel · CIK 0001775831 · 10% owner · See remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 11,510,601 Underlying: Common Stock · 4,266,211 shares Expires not disclosed F1 · derivative.expiration_date: These Warrants (as defined below) are exercisable indefinitely. F2 · ownership.nature: NCM, an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock disclosed in this Form 4 ("Warrants"), may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 28, 2025 Filed Jan 30, 2025 18:39 UTC | Evoke Pharma Inc EVOK · Entity 71094 | SaleCommon Stock | 41 | $4.39 | $179.87 |
DisclosureSEC source: 0001104659-25-007682 · tm254975-1_4seq1.xml · nonDerivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 148,153 F1 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Evoke Pharma, Inc. ("Issuer") securities disclosed in this statement, 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 14, 2024 Filed Jun 18, 2024 17:09 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | OtherExchange Warrants · Derivative | 815,217 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-072893 · tm2417545-2_4seq1.xml · derivative · entry 2 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 815,217 Underlying: Common Stock · 815,217 shares Expires not disclosed F3 · derivative.exercise_date: Subject to certain limits on beneficial ownership, the Exchange Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Exchange Warrants do not expire until exercised in full. F3 · derivative.expiration_date: Subject to certain limits on beneficial ownership, the Exchange Warrants may be exercised to purchase Issuer Common Stock at an exercise price of $0.0001 per share. The Exchange Warrants do not expire until exercised in full. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| June 14, 2024 Filed Jun 18, 2024 17:09 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | OtherTranche B Warrant · Derivative | 815,217 | $0.00 Strike: $1.59 | $0.00 |
DisclosureSEC source: 0001104659-24-072893 · tm2417545-2_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 815,217 shares Expires not disclosed F1 · derivative.exercise_price: The Tranche B Warrants may be exercised for either shares of Common Stock or Exchange Warrants. Subject to certain limits on beneficial ownership, the Tranche B Warrants are exercisable at a price of $1.59 per share (or $1.5899 per Exchange Warrant). The Tranche B Warrants will expire upon the earlier of (x) five years after the date of issuance, and (y) 30 days following the Issuer's achievement of consolidated trailing twelve-month adjusted EBITDA of $12 million. F1 · derivative.exercise_date: The Tranche B Warrants may be exercised for either shares of Common Stock or Exchange Warrants. Subject to certain limits on beneficial ownership, the Tranche B Warrants are exercisable at a price of $1.59 per share (or $1.5899 per Exchange Warrant). The Tranche B Warrants will expire upon the earlier of (x) five years after the date of issuance, and (y) 30 days following the Issuer's achievement of consolidated trailing twelve-month adjusted EBITDA of $12 million. F1 · derivative.expiration_date: The Tranche B Warrants may be exercised for either shares of Common Stock or Exchange Warrants. Subject to certain limits on beneficial ownership, the Tranche B Warrants are exercisable at a price of $1.59 per share (or $1.5899 per Exchange Warrant). The Tranche B Warrants will expire upon the earlier of (x) five years after the date of issuance, and (y) 30 days following the Issuer's achievement of consolidated trailing twelve-month adjusted EBITDA of $12 million. F1 · derivative.underlying: The Tranche B Warrants may be exercised for either shares of Common Stock or Exchange Warrants. Subject to certain limits on beneficial ownership, the Tranche B Warrants are exercisable at a price of $1.59 per share (or $1.5899 per Exchange Warrant). The Tranche B Warrants will expire upon the earlier of (x) five years after the date of issuance, and (y) 30 days following the Issuer's achievement of consolidated trailing twelve-month adjusted EBITDA of $12 million. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold the Aytu BioPharma, Inc ("Issuer") securities 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 Issuer securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack disclaims beneficial ownership of the Issuer's securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 19, 2024 Filed Mar 21, 2024 16:30 UTC | TALPHERA, INC. TLPH · Entity 7102 | Other2024 Pre-Funded Warrants · Derivative | 324,675 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-24-037346 · tm249500-1_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner · See remarks Mack Daniel · CIK 0001775831 · 10% owner · See remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 6,493,507 Underlying: Common Stock · 324,675 shares Expires not disclosed F1 · kind: On March 19, 2024, Nantahala Capital Management, LLC ("NCM") entered into a sub-advisory agreement with a client regarding its managed account, pursuant to which NCM acquired voting and investment power over certain securities owned by the client, including Warrants (as defined below) to purchase 324,675 shares of Common Stock at an exercise price of $0.001 per share, subject to a contractual prohibition on any exercise if the Reporting Persons (as defined below) or certain related persons would then beneficially own more than 9.99% of the number of shares of Common Stock outstanding. F1 · price: On March 19, 2024, Nantahala Capital Management, LLC ("NCM") entered into a sub-advisory agreement with a client regarding its managed account, pursuant to which NCM acquired voting and investment power over certain securities owned by the client, including Warrants (as defined below) to purchase 324,675 shares of Common Stock at an exercise price of $0.001 per share, subject to a contractual prohibition on any exercise if the Reporting Persons (as defined below) or certain related persons would then beneficially own more than 9.99% of the number of shares of Common Stock outstanding. F2 · derivative.expiration_date: These Warrants (as defined below) are exercisable indefinitely. F3 · ownership.nature: NCM, an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock disclosed in this Form 4 ("Warrants"), may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 15, 2024 Filed Mar 15, 2024 16:01 UTC | TALPHERA, INC. TLPH · Entity 7102 | OtherPut Option (obligation to buy) · Derivative | 755,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001104659-24-034986 · tm248811-1_4seq1.xml · derivative · entry 2 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner · See remarks Mack Daniel · CIK 0001775831 · 10% owner · See remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 755,000 shares Expires 2024-03-15 F1 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and held certain derivative securities related thereto (the "Derivatives"), including the put options disclosed in this Form 4, may be deemed or have been deemed a beneficial owner of such securities. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| March 15, 2024 Filed Mar 15, 2024 16:01 UTC | TALPHERA, INC. TLPH · Entity 7102 | OtherCommon Stock | 755,000 | $5.00 | $3,775,000.00 |
DisclosureSEC source: 0001104659-24-034986 · tm248811-1_4seq1.xml · nonDerivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner · See remarks Mack Daniel · CIK 0001775831 · 10% owner · See remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 1,992,519 F1 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and held certain derivative securities related thereto (the "Derivatives"), including the put options disclosed in this Form 4, may be deemed or have been deemed a beneficial owner of such securities. Each of Mr. Wilmot B. Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the securities beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the securities disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 22, 2024 Filed Jan 24, 2024 06:03 UTC | TALPHERA, INC. TLPH · Entity 7102 | Grant2024 Pre-Funded Warrants · Derivative | 6,168,832 | $0.77 Strike: $0.00 | $4,743,831.81 |
DisclosureSEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 5 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 6,168,832 Underlying: Common Stock · 6,168,832 shares Expires not disclosed F3 · derivative.expiration_date: These Warrants are exercisable indefinitely. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 22, 2024 Filed Jan 24, 2024 06:03 UTC | TALPHERA, INC. TLPH · Entity 7102 | Grant2023 Series B Warrants · Derivative | 2,205,883 | Not disclosed Strike: $0.77 | Not disclosed |
DisclosureSEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 4 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,205,883 Underlying: Common Stock · 2,205,883 shares Expires 2028-07-20 F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 22, 2024 Filed Jan 24, 2024 06:03 UTC | TALPHERA, INC. TLPH · Entity 7102 | Grant2023 Series A Warrants · Derivative | 2,205,883 | Not disclosed Strike: $0.77 | Not disclosed |
DisclosureSEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 3 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,205,883 Underlying: Common Stock · 2,205,883 shares Expires 2028-07-20 F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 22, 2024 Filed Jan 24, 2024 06:03 UTC | TALPHERA, INC. TLPH · Entity 7102 | Disposition to issuer2023 Series B Warrants · Derivative | 2,205,883 | Not disclosed Strike: $1.11 | Not disclosed |
DisclosureSEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 2 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,205,883 shares Expires 2028-07-20 F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| January 22, 2024 Filed Jan 24, 2024 06:03 UTC | TALPHERA, INC. TLPH · Entity 7102 | Disposition to issuer2023 Series A Warrants · Derivative | 2,205,883 | Not disclosed Strike: $1.11 | Not disclosed |
DisclosureSEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,205,883 shares Expires 2028-07-20 F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock. F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein. Read SEC document |
| July 13, 2022 Filed Jul 15, 2022 16:56 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | OtherSeries D Convertible Preferred Stock · Derivative | 150 | $1,000.00 Strike: $0.06 | $150,000.00 |
DisclosureSEC source: 0001104659-22-080243 · tm2221227-2_4.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,278 Underlying: Common Stock · 2,572,895 shares Expires not disclosed F1 · security: 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. F2 · kind: 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 and July 13, 2022. F2 · price: 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 and July 13, 2022. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F3 · ownership.nature: 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. Read SEC document |
| June 03, 2022 Filed Jun 8, 2022 19:20 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | OtherSeries D Convertible Preferred Stock · Derivative | 2,600 | $1,000.00 Strike: $0.06 | $2,600,000.00 |
DisclosureSEC source: 0001104659-22-069421 · tm2218038-2_4seq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,274 Underlying: Common Stock · 44,596,910 shares Expires not disclosed F1 · security: 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. F2 · kind: 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. F2 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F3 · ownership.nature: 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. Read SEC document |
| June 03, 2022 Filed Jul 15, 2022 16:33 UTC Amendment | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | OtherSeries D Convertible Preferred Stock · Derivative | 2,600 | $1,000.00 Strike: $0.06 | $2,600,000.00 |
DisclosureSEC source: 0001104659-22-080228 · tm2221227-1_4aseq1.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 13,274 Underlying: Common Stock · 44,596,910 shares Expires not disclosed F1 · security: 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. F2 · kind: 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. F2 · price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F3 · ownership.nature: 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. Read SEC document |
| November 12, 2020 Filed Nov 16, 2020 21:57 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | OtherSeries D Convertible Preferred Stock · Derivative | 7,500 | $1,000.00 Strike: $0.06 | $7,500,000.00 |
DisclosureSEC source: 0001104659-20-126032 · tm2036202d1_4.xml · derivative · entry 3 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,000 Underlying: Common Stock · 128,644,940 shares Expires not disclosed F4 · kind: The Series C Convertible Redeemable Preferred Stock is being exchanged for Series D Convertible Preferred Stock at par. F4 · price: The Series C Convertible Redeemable Preferred Stock is being exchanged for Series D Convertible Preferred Stock at par. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. Read SEC document |
| November 12, 2020 Filed Nov 16, 2020 21:57 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | OtherSeries C Convertible Redeemable Preferred Stock · Derivative | 750 | $10,000.00 Strike: $1.00 | $7,500,000.00 |
DisclosureSEC source: 0001104659-20-126032 · tm2036202d1_4.xml · derivative · entry 2 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 7,500,000 shares Expires not disclosed F3 · security: Series C Convertible Redeemable Preferred Stock ("Series C Preferred Stock") is convertible to Common Stock at the option of the holder at any time, or at the option of ImageWare upon the satisfaction of certain conditions. Series C Preferred Stock does not expire, but is subject to certain redemption rights, including at the option of ImageWare upon a qualifying change of control and at the option of the holder at any time after September 10, 2021 or upon a qualifying change of control. F4 · kind: The Series C Convertible Redeemable Preferred Stock is being exchanged for Series D Convertible Preferred Stock at par. F4 · price: The Series C Convertible Redeemable Preferred Stock is being exchanged for Series D Convertible Preferred Stock at par. F3 · derivative.exercise_date: Series C Convertible Redeemable Preferred Stock ("Series C Preferred Stock") is convertible to Common Stock at the option of the holder at any time, or at the option of ImageWare upon the satisfaction of certain conditions. Series C Preferred Stock does not expire, but is subject to certain redemption rights, including at the option of ImageWare upon a qualifying change of control and at the option of the holder at any time after September 10, 2021 or upon a qualifying change of control. F3 · derivative.expiration_date: Series C Convertible Redeemable Preferred Stock ("Series C Preferred Stock") is convertible to Common Stock at the option of the holder at any time, or at the option of ImageWare upon the satisfaction of certain conditions. Series C Preferred Stock does not expire, but is subject to certain redemption rights, including at the option of ImageWare upon a qualifying change of control and at the option of the holder at any time after September 10, 2021 or upon a qualifying change of control. F2 · ownership.nature: 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. Read SEC document |
| November 12, 2020 Filed Nov 16, 2020 21:57 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | PurchaseSeries D Convertible Preferred Stock · Derivative | 7,500 | $1,000.00 Strike: $0.06 | $7,500,000.00 |
DisclosureSEC source: 0001104659-20-126032 · tm2036202d1_4.xml · derivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 7,500 Underlying: Common Stock · 128,644,940 shares Expires not disclosed F1 · security: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. Read SEC document |
| June 14, 2019 Filed Jun 17, 2019 15:39 UTC | GUE Liquidation Companies, Inc. FTD · Entity 152300 | SaleOption (Right to buy) · Derivative | 2,500 | $0.00 Strike: $2.50 | $1.00 |
DisclosureSEC source: 0001144204-19-031161 · tv523707_4.xml · derivative · entry 3 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: FTD Common Stock, par value $0.0001 per share · 250,000 shares Expires 2019-06-21 F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM") may have been deemed a beneficial owner of securities held for certain private funds and managed accounts for which NCM serves as investment adviser. F3 · ownership.nature: Mr. Wilmot B. Harkey and Mr. Daniel Mack may have been deemed to be beneficial owners of the securities beneficially owned by NCM, but each of NCM, Wilmot Harkey and Daniel Mack disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein. Read SEC document |
| June 14, 2019 Filed Jun 17, 2019 15:39 UTC | GUE Liquidation Companies, Inc. FTD · Entity 152300 | SaleCommon Stock par value $0.0001 per share | 710,763 | $0.04 | $27,719.76 |
DisclosureSEC source: 0001144204-19-031161 · tv523707_4.xml · nonDerivative · entry 2 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes (2)(3) below Disclosed balance after: 0 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.0375 to $0.0433, inclusive. Read SEC document |
| June 13, 2019 Filed Jun 17, 2019 15:39 UTC | GUE Liquidation Companies, Inc. FTD · Entity 152300 | SaleCommon Stock par value $0.0001 per share | 3,000,000 | $0.05 | $138,000.00 |
DisclosureSEC source: 0001144204-19-031161 · tv523707_4.xml · nonDerivative · entry 1 Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner Harkey Wilmot B. · CIK 0001775952 · 10% owner Mack Daniel · CIK 0001775831 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes (2)(3) below Disclosed balance after: 710,763 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.04 to $0.67, inclusive. The Reporting Persons undertake to provide to FTD Companies, Inc. (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 sold at each separate price within the ranges set forth in footnotes (1) and (4) to this Form 4. 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.