SEC Form 4 · accession 0001019687-15-003629
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
Ceiba International Corp
10% Owner
Period of report
Oct 1, 2015
Accepted (ET)
Oct 5, 2015 · 7:11 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 | Apr 27, 2015 | P | 708,129 | $4.65 | A | 708,129 | I | Held in name of Auto Holdings, Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred Stock-Convertible/non-votingF2,F3 | $0.00 | Oct 1, 2015 | J | 9,673 | A | Oct 1, 2018 | — | Common | 96,730 | 9,673 | D |
| WarrantsF2 | $184.47 | Oct 1, 2015 | J | 8,535 | A | Oct 1, 2018 | Oct 1, 2022 | Series B Preferred | 8,535 | 8,535 | D |
Explanation of responses
- F1Acquisition of acquired entity AutoWeb, Inc. in a stock-for-stock transaction.
- F2Earliest date of conversion with shareholder approval but also subject to various terms/conditions which may allow for earlier conversion
- F3No expiration date.