SEC Form 3 · accession 0001415889-18-000336

AutoWeb, Inc. · AUTO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Ralph Randall Smith

Officer — SVP, Digital Marketing

Period of report

Feb 20, 2018

Accepted (ET)

Feb 28, 2018 · 7:53 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^F1	holding	—	—		—	20,000	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 Acquire)^F2	$6.75	holding	—	—	—	—	Apr 15, 2018	Common Stock	10,000	—	D
Employee Stock Option (Right to Acquire)^F3	$3.80	holding	—	—	—	—	Dec 7, 2018	Common Stock	400	—	D
Employee Stock Option (Right to Acquire)^F4	$3.90	holding	—	—	—	—	Jan 10, 2019	Common Stock	2,000	—	D
Employee Stock Option (Right to Acquire)^F5	$4.00	holding	—	—	—	—	Jan 24, 2020	Common Stock	5,000	—	D
Employee Stock Option (Right to Acquire)^F6	$4.72	holding	—	—	—	—	Jul 1, 2020	Common Stock	5,000	—	D
Employee Stock Option (Right to Acquire)^F7	$17.64	holding	—	—	—	—	Jan 21, 2021	Common Stock	8,000	—	D
Employee Stock Option (Right to Acquire)^F8	$14.32	holding	—	—	—	—	Mar 17, 2021	Common Stock	6,000	—	D
Employee Stock Option (Right to Acquire)^F9	$8.53	holding	—	—	—	—	Sep 16, 2021	Common Stock	5,000	—	D
Employee Stock Option (Right to Acquire)^F10	$10.20	holding	—	—	—	—	Jan 23, 2022	Common Stock	25,000	—	D
Employee Stock Option (Right to Acquire)^F11	$13.22	holding	—	—	—	—	May 18, 2022	Common Stock	4,000	—	D
Employee Stock Option (Right to Acquire)^F12	$17.09	holding	—	—	—	—	Jan 21, 2023	Common Stock	15,000	—	D
Employee Stock Option (Right to Acquire)^F13	$14.41	holding	—	—	—	—	Jul 15, 2023	Common Stock	22,000	—	D
Employee Stock Option (Right to Acquire)^F14	$13.81	holding	—	—	—	—	Jan 26, 2024	Common Stock	20,000	—	D

Explanation of responses

F1Includes 10,000 shares of restricted stock that vest one third on September 27, 2018, September 27, 2019, and September 27, 2020.
F10Grant on January 23, 2015 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F11Grant on May 18, 2015 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 331/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable thereafter each successive month ending on the 3rd anniversary of grant date.
F12Grant on January 21, 2016 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 331/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable thereafter each successive month ending on the 3rd anniversary of grant date.
F13Grant on July 15, 2016 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 331/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable thereafter each successive month ending on the 3rd anniversary of grant date.
F14Grant on January 26, 2017 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 331/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable thereafter each successive month ending on the 3rd anniversary of grant date.
F2Grant on April 15, 2011 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F3Grant on December 7, 2011 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F4Grant on January 10, 2012 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F5Grant on January 24, 2013 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F6Grant on July 1, 2013 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F7Grant on January 21, 2014 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F8Grant on March 17, 2014 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.
F9Grant on September 16, 2014 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. All these options are fully vested and exercisable.