SEC Form 4/A · accession 0001019687-15-004293
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.
Period of report
Oct 1, 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 StockF4 | Apr 27, 2015 | P | 708,129 | $4.65 | A | 1,576,145 | 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.
- F4The original October 5, 2015 filing is amended to reflect that after the April 27, 2015 transaction, Ceiba International Corp. ("Ceiba") indirectly owned, in addition to the 708,129 shares of ABTL common stock previously reported, an additional 868,016 shares of ABTL common stock. Those additional shares being indirectly owned in the following manner: 95,977 shares held by Investment and Development Finance Corp. ("IDFC"), 4,900 held jointly by Juan Christian Klose Pieters and Margarita Klose, and an additional 767,139 shares held by Auto Holdings.
Remarks
The original October 1, 2015 filing is amended to correct the full name of IDFC. The correct name is Investment and Development Finance Corp., not International Development & Financial Corp., as shown on the original filing.