SEC Form 4 · accession 0001214659-15-007873
EVOLVING SYSTEMS INC · EVOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thaddeus Dupper
Officer — CEO · Director
Period of report
Nov 16, 2015
Accepted (ET)
Nov 18, 2015 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001052054
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 16, 2015 | M | 300 | $1.00 | A | 225,456 | D | |
| Common Stock | Nov 16, 2015 | S | 300 | $5.50 | D | 225,156 | D | |
| Common Stock | holding | — | — | — | 13,000 | I | By wife |
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) | $1.00 | Nov 16, 2015 | M | 300 | D | Mar 28, 2006 | Dec 27, 2015 | Common Stock | 300 | 12,200 | D |