SEC Form 5 · accession 0001179110-16-019227
EDGEWATER TECHNOLOGY INC/DE/ · EDGW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kristin Lynn Zaepfel
Officer — Vice President of HR
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 | 6,250 | $0.01 | A | 42,850 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $6.99 | Mar 6, 2015 | M | 12,500 | A | Mar 6, 2016 | Mar 6, 2022 | Common Stock | 12,500 | 12,500 | D |
| Stock OptionF1 | $6.18 | holding | — | — | — | — | Mar 17, 2016 | Common Stock | 14,500 | 14,500 | D |
| Stock OptionF1 | $3.15 | holding | — | — | — | — | Mar 9, 2018 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF1 | $3.73 | holding | — | — | — | — | Mar 26, 2019 | Common Stock | 10,500 | 10,500 | D |
| Stock OptionF1 | $4.04 | holding | — | — | — | — | Sep 26, 2019 | Common Stock | 19,500 | 19,500 | D |
| Stock OptionF2 | $4.20 | holding | — | — | — | — | Mar 6, 2020 | Common Stock | 17,500 | 17,500 | D |
| Stock OptionF2 | $6.89 | holding | — | — | — | — | Mar 5, 2021 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1These options are fully vested.
- F2These option vest 33% per year from 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.