SEC Form 4 · accession 0001261970-15-000013
EVOLVING SYSTEMS INC · EVOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thaddeus Dupper
Officer — President & CEO · Director
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 4:34 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 | holding | — | — | — | 226,156 | 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)F2,F1 | $8.96 | Jan 29, 2015 | A | 12,000 | A | Apr 29, 2015 | Jan 28, 2025 | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1The shares vest in equal quarterly installments over a 4-year period, beginning April 29, 2015.
- F2Employee stock options are granted without payment of consideration.