SEC Form 5 · accession 0001179110-16-019234
EDGEWATER TECHNOLOGY INC/DE/ · EDGW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Oakes
Officer — Chief Financial Officer
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 2:04 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 | 18,750 | $0.01 | A | 50,650 | D | |
| Common Stock | holding | — | — | — | 2,346 | 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 | 37,500 | A | Mar 6, 2016 | Mar 6, 2022 | Common Stock | 37,500 | 37,500 | D |
| Stock OptionF1 | $2.84 | holding | — | — | — | — | Dec 10, 2016 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF1 | $3.15 | holding | — | — | — | — | Mar 9, 2018 | Common Stock | 75,000 | 75,000 | D |
| Stock OptionF1 | $3.73 | holding | — | — | — | — | Mar 26, 2019 | Common Stock | 42,500 | 42,500 | D |
| Stock OptionF1 | $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 |
| Stock OptionF2 | $6.89 | holding | — | — | — | — | Mar 5, 2021 | Common Stock | 25,000 | 25,000 | 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.