0001415889-13-001086.txt : 20130529 0001415889-13-001086.hdr.sgml : 20130529 20130529205600 ACCESSION NUMBER: 0001415889-13-001086 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130529 FILED AS OF DATE: 20130529 DATE AS OF CHANGE: 20130529 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDMAN NEAL I CENTRAL INDEX KEY: 0001182567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15757 FILM NUMBER: 13879705 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: IMAGEWARE SYSTEMS INC CENTRAL INDEX KEY: 0000941685 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330224167 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10815 RANCHO BERNARDO RD., STREET 2: SUITE 310 CITY: SAN DIEGO STATE: CA ZIP: 92127 BUSINESS PHONE: 8586738600 MAIL ADDRESS: STREET 1: 10815 RANCHO BERNARDO RD., STREET 2: SUITE 310 CITY: SAN DIEGO STATE: CA ZIP: 92127 FORMER COMPANY: FORMER CONFORMED NAME: IMAGEWARE SOFTWARE INC DATE OF NAME CHANGE: 19991123 4 1 form4-05302013_120550.xml X0306 4 2013-05-29 0000941685 IMAGEWARE SYSTEMS INC IWSY 0001182567 GOLDMAN NEAL I 767 3RD AVENUE 25TH FLOOR NEW YORK NY 10017 true false true false Common Stock 2013-05-29 4 X 0 300000 1.25 A 10769068 D Common Stock 10136077 I By Goldman Capital Management MPP Common Stock 4000000 I By Goldman Partners LP Common Stock 800000 I By Individual Retirement Account Beneficially Owned by Neal Goldman Common Stock 30000 I By Neal and Marlene Goldman Foundation Common Stock 3000000 I By Goldman Family 2012 GST Trust Warrant 1.25 2013-05-29 4 X 0 300000 D 2011-06-09 2013-06-09 Common Stock 300000 0 D Warrant .50 2011-12-20 2016-12-20 Common Stock 950000 950000 D Warrant .50 2011-12-20 2016-12-20 Common Stock 2000000 2000000 I By Goldman Partners LP Warrant .50 2011-12-20 2016-12-20 Common Stock 525000 525000 I By Goldman Capital Management MPP Warrant .50 2012-03-29 2014-03-29 Common Stock 250000 250000 D Stock Option 0.93 2023-02-08 Common Stock 10000 10000 D Warrant 0.95 2013-03-27 2015-03-27 Common Stock 1052632 1052632 D The Reporting Person received the warrants as additional consideration in a privately negotiated transaction. Options shall vest as follows: 3,336 shares on February 8, 2014, and 833 shares on each of the next eight quarterly anniversaries thereafter. /s/ Neal I. Goldman 2013-05-29