SEC Form 4 · accession 0001019687-15-003710
AutoWeb, Inc. · AUTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
de Ojeda John Peter Klose
10% Owner
Period of report
Oct 1, 2015
Accepted (ET)
Oct 13, 2015 · 8:35 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 | I |
| Series B Preferred Stock - convertible/non-votingF2,F3 | $0.00 | Oct 1, 2015 | J | 2,238 | A | Oct 1, 2018 | — | Common | 22,380 | 11,911 | I |
| WarrantsF2 | $184.47 | Oct 1, 2015 | J | 8,535 | A | Oct 1, 2018 | Oct 1, 2022 | Series B Preferred | 8,535 | 8,535 | I |
| WarrantsF2 | $184.47 | Oct 1, 2015 | J | 1,975 | A | Oct 1, 2018 | Oct 1, 2022 | Series B Preferred | 1,975 | 10,510 | I |
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.