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Lloyd Miller III

DateNameSymbolTypeSecuritySharesPriceValueOwnershipReported
12/31/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest16.7k$3.00$50.2k 12/28/2017
12/31/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest16.7k$3.00$50.2kBy Milfam II L.P.12/28/2017
12/31/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest8.4k$3.00$25.1kBy LIM III - Trust A-412/28/2017
12/31/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest33.2k$3.00$99.6kBy Milfam II L.P.12/28/2017
12/28/2017DETERMINE, INC.DTRMSaleCommon Stock25k$1.69$42.1kBy Milfam II L.P.12/28/2017
12/27/2017DETERMINE, INC.DTRMSaleCommon Stock34k$1.70$57.9kBy LIM III - Trust A-412/27/2017
12/27/2017DETERMINE, INC.DTRMSaleCommon Stock2k$1.70$3.4kBy Milfam II L.P.12/27/2017
12/26/2017DETERMINE, INC.DTRMSaleCommon Stock31k$1.73$53.6kBy LIM III - Trust A-412/26/2017
12/21/2017Kaspien Holdings Inc.TWMCPurchaseCommon Stock5.2k$1.70$8.8kBy Milfam I L.P.12/21/2017
12/20/2017Kaspien Holdings Inc.TWMCPurchaseCommon Stock30.2k$1.70$51.3kBy Milfam I L.P.12/20/2017
12/19/2017Kaspien Holdings Inc.TWMCPurchaseCommon Stock500$1.70$850By Milfam I L.P.12/19/2017
12/11/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest19.3k$5.70$110.1kBy Milfam II L.P.12/11/2017
12/11/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest19.3k$5.70$110.1k 12/11/2017
12/11/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest9.7k$5.70$55.1kBy LIM III - Trust A-412/11/2017
11/20/2017DETERMINE, INC.DTRMSaleCommon Stock8k$1.70$13.6kBy Trust C - Lloyd I. Miller11/20/2017
11/17/2017ONVIA INCONVIOtherCommon Stock131.7k$9.00$1.2MBy Milfam I L.P.11/17/2017
11/17/2017ONVIA INCONVIOtherCommon Stock139.1k$9.00$1.3M 11/17/2017
11/17/2017ONVIA INCONVIOtherCommon Stock334.9k$9.00$3MBy Milfam II L.P.11/17/2017
11/17/2017ONVIA INCONVIOtherCommon Stock183.1k$9.00$1.6MBy LIM III - Trust A-411/17/2017
11/17/2017ONVIA INCONVIOtherCommon Stock183k$9.00$1.6MBy MBM - Trust A-411/17/2017
11/16/2017DETERMINE, INC.DTRMSaleCommon Stock25k$1.73$43.2kBy Trust C - Lloyd I. Miller11/16/2017
11/15/2017Kaspien Holdings Inc.TWMCPurchaseCommon Stock12.7k$1.60$20.3kBy Milfam I L.P.11/15/2017
11/13/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock107.6k$0.03$3.6kBy Milfam I L.P.11/13/2017
11/08/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock146.2k$0.03$4.4kBy Milfam I L.P.11/08/2017
11/07/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock103.8k$0.03$3.1kBy Milfam I L.P.11/07/2017
11/06/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock25k$0.03$825By LIM III - Trust A-411/06/2017
11/06/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock392.4k$0.03$12.9kBy Milfam I L.P.11/06/2017
11/03/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock100k$0.03$3.3kBy LIM III - Trust A-411/03/2017
11/03/2017Gulf Coast Ultra Deep Royalty TrustGULTUSaleCommon Stock50k$0.03$1.7k 11/03/2017
10/31/2017Kaspien Holdings Inc.TWMCPurchaseCommon Stock886$1.65$1.5kBy Milfam I L.P.10/31/2017
10/27/2017Kaspien Holdings Inc.TWMCPurchaseCommon Stock2.2k$1.65$3.7kBy Milfam I L.P.10/27/2017
10/05/2017Capstone Therapeutics Corp.CAPSSaleCommon Stock100k$0.06$6kBy LIMFAM LLC10/05/2017
09/30/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest8.2k$3.00$24.5kBy LIM III - Trust A-409/30/2017
09/30/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest8.2k$3.00$24.5kBy MBM - Trust A-409/30/2017
09/30/2017DETERMINE, INC.DTRMOther (acquisition)Junior Secured Convertible Promissory Note and PIK Interest16.3k$3.00$49k 09/30/2017
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