SEC Form 5 · accession 0001179110-16-019226
EDGEWATER TECHNOLOGY INC/DE/ · EDGW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Clancey
Officer — EVP & Chief Technology Officer
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 2:02 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 6, 2015 | A | 20,000 | $0.01 | A | 218,300 | D | |
| Common Stock | Aug 20, 2015 | P | 2,088 | $7.15 | A | 220,388 | D | |
| Common Stock | Aug 20, 2015 | P | 112 | $7.18 | A | 220,500 | D | |
| Common Stock | holding | — | — | — | 36,880 | 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 | $6.99 | Mar 6, 2015 | M | 40,000 | A | Mar 6, 2016 | Mar 6, 2022 | Common Stock | 40,000 | 40,000 | D |
| Stock OptionF1 | $6.18 | holding | — | — | — | — | Mar 17, 2016 | Common Stock | 59,000 | 59,000 | D |
| Stock OptionF1 | $2.84 | holding | — | — | — | — | Dec 10, 2016 | Common Stock | 185,000 | 185,000 | D |
| Stock OptionF1 | $2.84 | holding | — | — | — | — | Jun 16, 2017 | Common Stock | 75,000 | 75,000 | D |
| Stock OptionF1 | $3.15 | holding | — | — | — | — | Mar 9, 2018 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF1 | $3.73 | holding | — | — | — | — | Mar 26, 2019 | Common Stock | 85,000 | 85,000 | D |
| Stock OptionF2 | $4.20 | holding | — | — | — | — | Mar 6, 2020 | Common Stock | 62,500 | 62,500 | D |
| Stock OptionF2 | $6.89 | holding | — | — | — | — | Mar 5, 2021 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1These options are fully vested.
- F2These options vest 33% per year from the date of grant.
- F3Restrcited stock award at the par value of $0.01 per share under Edgewater Technology, Inc. 2012 Omnibus Incentive Plan, subject to forfieture, based on time vesting provisions.