SEC Form 4/A · accession 0001019687-15-004292
AutoWeb, Inc. · AUTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Auto Holdings Ltd.
10% Owner
Pieters Juan Christian Klose
10% Owner
Margarita Rosales Klose
10% Owner
Period of report
Apr 27, 2015
Accepted (ET)
Nov 20, 2015 · 6:05 pm EST
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 WarrantF3,F1,F2 | Apr 27, 2015 | C | 400,000 | $1,860,000.00 | A | 500,877 | D | |
| Common Stock issued on conversion of Convertible NoteF3,F1,F2 | Apr 27, 2015 | C | 1,075,268 | $0.00 | A | 1,576,145 | 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. Peter 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. Investment and Development Finance Corp. ("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.
- F2The original April 27, 2015 filing is amended to add Juan Christian Klose Pieters, beneficial owner of IDFC, Margarita Klose, wife of Juan Christian Klose Pieters, and IDC Financial S.A., beneficially owned by IDFC, to the group.
- F3The original April 27, 2015 filing is amended to reflect that on that date, Investment and Development Finance Corp. ("IDFC") and Juan Christian Klose Pieters (jointly with spouse Margarita Klose), indirect shareholders of Auto Holdings Ltd., owned a total of 100,877 shares of ABTL common stock. IDFC owned 95,977 shares and Juan Christian Klose Pieters (jointly with spouse Margarita Klose) owned 4,900 shares of ABTL common stock.
Remarks
Given the limit of ten insider CIKs on a single form, an additional Form 4 will be filed containing the signatures of ten additional insiders: Auto Holdings Ltd., John Peter Klose de Ojeda, Richard Aitkenhead Castillo, Jose Vargas Sr., Caleb3 Inc., Matias de Tezanos , Manatee Ventures Inc., Investment & Development Finance Corp., Ceiba International Corp., IDC Financial S.A.