SEC Form 4 · accession 0001415889-16-005154
AutoWeb, Inc. · AUTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wesley Ozima
Officer — VP AND CONTROLLER
Period of report
Mar 15, 2016
Accepted (ET)
Mar 17, 2016 · 8:04 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 | Mar 15, 2016 | M | 1,500 | $14.95 | A | 6,557 | D | |
| Common Stock | Mar 15, 2016 | S | 1,500 | $19.88 | D | 5,057 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $14.95 | Mar 15, 2016 | M | 1,500 | D | — | Aug 14, 2016 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1Derivative securities became exercisable as follows: 33 1/3% vested and became exercisable on August 14, 2007, and 1/36 vested and became exercisable at the end of each successive monthly anniversary thereafter for the following 24 months ending on the third anniversary of the grant date.