SEC Form 4 · accession 0001415889-19-000260

AutoWeb, Inc. · AUTO

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

Reporting owner

Officer — EVP, CLO, SECRETARY

Period of report

Mar 1, 2019

Accepted (ET)

Mar 5, 2019 · 4:36 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	Mar 1, 2019	M	17,500	$1.75	A	59,487	D

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	$3.39	Mar 1, 2019	A	55,000	A	—	Mar 1, 2026	Common Stock	55,000	55,000	D
Employee Stock Option (Right to Buy)^F3	$1.75	Mar 1, 2019	M	17,500	D	—	Mar 3, 2019	Common Stock	17,500	0	D

F1Includes 26,667 shares of Restricted Stock that will vest in two installments on September 27, 2019 and September 27, 2020.
F2Grant to reporting person of options to buy shares of common stock in transaction exempt under Rule 16b-3. These options will become vested and exercisable as follows: (i) 33 1/3% shall vest and become exercisable on March 1, 2020, and (ii) 1/36 shall vest and become exercisable on each successive monthly anniversary thereafter for the following 24 months ending on March 1, 2022.
F3Subject to the achievement of certain performance goals of the Company, these derivative securities became exercisable as follows: (i) 33 1/3% vested and became exercisable on March 3, 2010, and (ii) 1/36 shall vested and became exercisable on each successive monthly anniversary thereafter for the following 24 months ending on March 3, 2012.