SEC Form 4 · accession 0001209191-16-097620
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Feinberg
Director
Period of report
Feb 10, 2016
Accepted (ET)
Feb 11, 2016 · 5:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094348
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 10, 2016 | M | 6,250 | $3.80 | A | 28,177 | I | Henry J. Feinberg Trust dated 3/28/97 |
| Common StockF1 | Feb 10, 2016 | M | 50,000 | $4.25 | A | 78,177 | I | Henry J. Feinberg Trust dated 3/28/97 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $3.80 | Feb 10, 2016 | M | 6,250 | D | — | May 17, 2023 | Common Stock | 6,250 | 0 | I |
| Stock Option (right to buy)F1,F3 | $4.25 | Feb 10, 2016 | M | 50,000 | D | — | Feb 18, 2019 | Common Stock | 50,000 | 0 | I |
Explanation of responses
- F1Henry J. Feinberg ("Feinberg") is the sole trustee of the Henry J. Feinberg Trust dated 3/28/97. Feinberg disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
- F2Initial option award of 10,000 on May 17, 2013; 25% of the award vested on May 31, 2014 and the remaining shares will vest 6.25% quarterly thereafter; 3,750 remain unvested.
- F3Fully vested.