SEC Form 4 · accession 0001019687-15-003635

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

10% Owner

Officer — Chief Revenue Officer · Director · 10% Owner

Period of report

Oct 1, 2015

Accepted (ET)

Oct 5, 2015 · 7:16 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	186,553	$4.65	A	186,553	I	Held by Auto Holdings Ltd.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock - Convertible/non-voting^F2,F3	$0.00	Oct 1, 2015	J	32,322	A	Oct 1, 2018	—	Common	323,220	32,322	I
Series B Preferred Stock - Convertible/non-voting^F1,F2,F3	$0.00	Oct 1, 2015	J	773	A	Oct 1, 2018	—	Common	7,730	33,095	I
Warrants^F2	$184.47	Oct 1, 2015	J	28,518	A	Oct 1, 2018	Oct 1, 2022	Series B Preferred	28,518	28,518	I
Warrants^F2	$184.47	Oct 1, 2015	J	682	A	Oct 1, 2018	Oct 1, 2022	Series B Preferred	682	29,200	I

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.