SEC Form 5 · accession 0001179110-15-002482
EDGEWATER TECHNOLOGY INC/DE/ · EDGW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robin Ranzal-Knowles
Officer — Senior Vice President
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 2:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001017968
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Mar 5, 2014 | A | 12,500 | $0.01 | A | 119,945 | D | |
| Common Stock | Sep 3, 2014 | M | 1,100 | $4.95 | A | 121,045 | D | |
| Common Stock | Sep 3, 2014 | M | 1,100 | $7.25 | D | 119,945 | D | |
| Common Stock | Sep 4, 2014 | M | 419 | $4.95 | A | 120,364 | D | |
| Common Stock | Sep 4, 2014 | M | 419 | $7.10 | D | 119,945 | D | |
| Common Stock | Sep 8, 2014 | M | 730 | $4.95 | A | 120,675 | D | |
| Common Stock | Sep 8, 2014 | M | 730 | $7.10 | D | 119,945 | D | |
| Common Stock | Sep 9, 2014 | M | 300 | $4.95 | A | 120,245 | D | |
| Common Stock | Sep 9, 2014 | M | 300 | $7.10 | D | 119,945 | D | |
| Common Stock | Sep 10, 2014 | M | 700 | $4.95 | A | 120,645 | D | |
| Common Stock | Sep 10, 2014 | M | 700 | $7.016 | D | 119,945 | D | |
| Common Stock | Sep 11, 2014 | M | 800 | $4.95 | A | 120,745 | D | |
| Common Stock | Sep 11, 2014 | M | 800 | $6.9863 | D | 119,945 | D | |
| Common Stock | Sep 12, 2014 | M | 15,951 | $4.95 | A | 135,896 | D | |
| Common Stock | Sep 12, 2014 | M | 15,951 | $6.89 | D | 119,945 | D | |
| Common Stock | holding | — | — | — | 51,872 | I | By Employee Stock Purchase Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $6.89 | Mar 5, 2014 | A | 25,000 | A | Mar 5, 2015 | Mar 5, 2021 | Common Stock | 25,000 | 25,000 | D |
| Stock OptionF2 | $4.95 | Sep 3, 2014 | M | 1,100 | D | Oct 4, 2005 | Oct 4, 2014 | Common Stock | 1,100 | 18,900 | D |
| Stock OptionF2 | $4.95 | Sep 4, 2014 | M | 419 | D | Oct 4, 2005 | Oct 4, 2014 | Common Stock | 419 | 18,481 | D |
| Stock OptionF2 | $4.95 | Sep 8, 2014 | M | 730 | D | Oct 4, 2005 | Oct 4, 2014 | Common Stock | 730 | 17,751 | D |
| Stock OptionF2 | $4.95 | Sep 9, 2014 | M | 300 | D | Oct 4, 2005 | Oct 4, 2014 | Common Stock | 300 | 17,451 | D |
| Stock OptionF2 | $4.95 | Sep 10, 2014 | M | 700 | D | Oct 4, 2005 | Oct 4, 2021 | Common Stock | 700 | 16,751 | D |
| Stock OptionF2 | $4.95 | Sep 11, 2014 | M | 800 | D | Oct 4, 2005 | Oct 4, 2014 | Common Stock | 800 | 15,951 | D |
| Stock OptionF2 | $4.95 | Sep 12, 2014 | M | 15,951 | D | Oct 4, 2005 | Oct 4, 2014 | Common Stock | 15,951 | 0 | D |
| Stock OptionF1 | $2.84 | holding | — | — | — | — | Dec 10, 2016 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF1 | $2.84 | holding | — | — | — | — | Jun 16, 2017 | Common Stock | 15,000 | 15,000 | D |
| Stock OptionsF1 | $3.15 | holding | — | — | — | — | Mar 9, 2018 | Common Stock | 42,526 | 42,526 | D |
| Stock OptionF2 | $3.52 | holding | — | — | — | — | Mar 7, 2019 | Common Stock | 14,396 | 14,396 | D |
| Stock OptionF2 | $3.73 | holding | — | — | — | — | Mar 26, 2019 | Common Stock | 42,500 | 42,500 | D |
| Stock OptionF2 | $4.04 | holding | — | — | — | — | Sep 26, 2019 | Common Stock | 82,500 | 82,500 | D |
| Stock OptionF2 | $4.20 | holding | — | — | — | — | Mar 6, 2020 | Common Stock | 37,500 | 37,500 | D |
Explanation of responses
- F1These options are fully vested.
- F2These options vest 33% per year from the date of grant.
- F3Restricted stock award at the par value of $0.01 per share under the Edgewater Technology, Inc. 2012 Omnibus Incentive Plan, subject to forfieture, based on time vesting provisions.