SEC Form 3 · accession 0001415889-18-000629
AutoWeb, Inc. · AUTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Taren Peng
Officer — SVP, Technology
Period of report
Apr 12, 2018
Accepted (ET)
Apr 17, 2018 · 4:04 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 StockF1 | holding | — | — | — | 30,000 | 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 Buy)F2 | $14.93 | holding | — | — | — | — | Mar 10, 2021 | Common Stock | 5,000 | — | D |
| Employee Stock Option (Right to Buy)F3 | $14.93 | holding | — | — | — | — | Oct 2, 2021 | Common Stock | 10,000 | — | D |
| Employee Stock Option (Right to Buy)F4 | $10.20 | holding | — | — | — | — | Jan 23, 2022 | Common Stock | 3,000 | — | D |
| Employee Stock Option (Right to Buy)F5 | $17.09 | holding | — | — | — | — | Jan 21, 2023 | Common Stock | 5,000 | — | D |
| Employee Stock Option (Right to Buy)F6 | $13.81 | holding | — | — | — | — | Jan 26, 2024 | Common Stock | 20,000 | — | D |
| Employee Stock Option (Right to Buy)F7 | $3.26 | holding | — | — | — | — | Apr 12, 2025 | Common Stock | 83,000 | — | D |
Explanation of responses
- F1Restricted Stock that vests one third on September 27, 2018, September 27, 2019, and September 27, 2020.
- F2Grant on March 10, 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.
- F3Grant on October 2, 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.
- F4Grant 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.
- F5Grant on January 21, 2016 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 33 1/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable on each successive month thereafter ending on the 3rd anniversary of grant date.
- F6Grant on January 26, 2017 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 33 1/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable on each successive month thereafter ending on the 3rd anniversary of grant date.
- F7Grant on April 12, 2018 to reporting person of options to buy shares of Common Stock in transaction exempt under Rule 16b-3. 33 1/3% vested and became exercisable on the first anniversary of the grant date, and 1/36 vest and become exercisable on each successive month thereafter ending on the 3rd anniversary of grant date.