SEC Form 4 · accession 0001415889-16-007494
AutoWeb, Inc. · AUTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey H Coats
Officer — PRESIDENT AND CEO · Director
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 8:04 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 | Nov 18, 2016 | M | 7,700 | $1.75 | A | 21,369 | D | |
| Common StockF1 | Nov 18, 2016 | S | 7,700 | $13.562 | D | 13,669 | D | |
| Common Stock | Nov 21, 2016 | M | 1,798 | $1.75 | A | 15,467 | D | |
| Common Stock | Nov 21, 2016 | S | 1,798 | $13.50 | D | 13,669 | 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)F2 | $1.75 | Nov 18, 2016 | M | 7,700 | D | — | Apr 3, 2019 | Common Stock | 7,700 | 192,301 | D |
| Employee Stock Option (Right to Buy)F2 | $1.75 | Nov 21, 2016 | M | 1,798 | D | — | Apr 3, 2019 | Common Stock | 1,798 | 190,503 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $13.50 to $13.68 per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide, upon request, the information regarding the number of shares and prices at which the transactions were effected.
- F2Derivative securities became vested and exercisable on April 3, 2010.