SEC Form 4/A · accession 0001261970-15-000010
EVOLVING SYSTEMS INC · EVOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Julian D. Singer
Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 15, 2015 · 4:21 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 StockF1 | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NQ Stock Option (right to buy)F3,F2 | $9.30 | Jan 2, 2015 | A | 5,000 | A | Jun 17, 2015 | Jan 1, 2025 | Common Stock (Direct) | 5,000 | 5,000 | D |
Explanation of responses
- F1The reporting person is a beneficiary of Singer Children's Management Trust and disclaims beneficial ownership over any securities held by Singer Children's Management Trust except to the extent of his reportable pecuniary interest therein. Singer Children's Management Trust owns 2,645,638 shares of Common Stock of the Issuer. Pursuant to Rule 16a-8(b), the reporting person is not deemed to have a reportable pecuniary interest in shares held by Singer Children's Management Trust. The inclusion of any securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- F2The options will fully vest on the date of the 2015 Annual Meeting of Stockholders.
- F3Stock options are granted without payment of consideration.