SEC Form 4 · accession 0001019687-15-001753
AutoWeb, Inc. · AUTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owners
Auto Holdings Ltd.
10% Owner
Manatee Ventures Inc.
10% Owner
Galeb3 Inc
10% Owner
Matias de Tezanos
10% Owner
de Ojeda John Peter Klose
10% Owner
Castillo Richard Aitkenhead
10% Owner
Jose Vargas Sr.
10% Owner
Ceiba International Corp
10% Owner
Period of report
Apr 27, 2015
Accepted (ET)
May 4, 2015 · 8:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001023364
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock issued on exercise of WarrantF1 | Apr 27, 2015 | P | 400,000 | $1,860,000.00 | A | 1,475,268 | D | |
| Common Stock issued on conversion of Convertible NoteF1 | Apr 27, 2015 | P$0 | 1,075,268 | $0.00 | A | 1,475,268 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to purchase Common Stock | $4.65 | Apr 27, 2015 | P | 400,000 | D | Apr 27, 2015 | Sep 16, 2018 | Common Stock | 400,000 | 0 | D |
| Note Convertible into Common Stock | $4.65 | Apr 27, 2015 | P | 1,075,268 | D | Apr 27, 2015 | Sep 30, 2015 | Common Stock | 1,075,268 | 0 | D |
Explanation of responses
- F1The securities are held directly by Auto Holdings. The other reporting persons are indirect owners of the securities. Mr. Vargas, Mr. de Tezanos, Mr. Klose and Mr. Aitkenhead are the directors of Auto Holdings. Ceiba is the controlling shareholder of Auto Holdings and has the right to appoint one additional director of Auto Holdings. IDFC is the sole shareholder of Ceiba. Galeb3 is wholly-owned by Mr. Vargas and owns shares of Auto Holdings. Manatee is wholly-owned by Mr. Tezanos and owns shares of Auto Holdings.