SEC Form 4/A · accession 0001019687-16-006417
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
Galeb3 Inc
10% Owner
Jose J. Vargas
Officer — Chief Revenue Officer · Director · 10% Owner
Period of report
Oct 1, 2015
Accepted (ET)
May 20, 2016 · 9:55 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 StockF1 | Apr 27, 2015 | P | 191,053 | $4.65 | A | 191,053 | I | Held by Auto Holdings, Inc. |
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-votingF1,F3,F4 | $0.00 | Oct 1, 2015 | J | 33,286 | A | Oct 1, 2018 | — | Common Stock | 332,860 | 33,286 | I |
| WarrantF1,F3 | $184.47 | Oct 1, 2015 | J | 29,370 | A | Oct 1, 2018 | Oct 1, 2022 | Series B Preferred Stock | 29,370 | 29,370 | I |
Explanation of responses
- F1This Form 4 is being filed to correct the number of shares of Common Stock (191,053 to replace 186,553), Series B Preferred Stock - convertible/non-voting (33,286 to replace 32,322) and Warrants (29,370 to replace 28,518) owned by the Reporting Person as reported in the Form 4 filed with the U.S. Securities and Exchange Commission on October 5, 2015.
- F2Acquisition of acquired entity AutoWeb, Inc. in a stock-for-stock transaction.
- F3Earliest date of conversion with shareholder approval but also subject to various terms/conditions which allow for earlier conversion.
- F4No expiration date.