SEC Form 4 · accession 0001209191-16-101130
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Gustafson
Officer — EVP & Chief Operating Officer
Period of report
Feb 12, 2016
Accepted (ET)
Feb 22, 2016 · 7:22 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,F2,F3 | Feb 12, 2016 | A | 44,716 | — | A | 255,461 | D | |
| Common StockF4,F2 | Feb 12, 2016 | A | 52,083 | — | A | 307,544 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Award of time-vesting restricted stock pursuant to the 1999 Stock Incentive Plan, subject to continuing employment. The Award was approved by the Board of Directors of the issuer for purposes of 16b-3 and includes a tax withholding feature. The award will vest in full on 2/28/17.
- F2Not Applicable
- F3The reporting person's ownership number reflects a correction of the ESPP shares acquired on 9/30/15. The correct number of ESPP shares acquired on 9/30/15 was 1146 shares.
- F4Award of time-vesting restricted stock pursuant to the 1999 Stock Incentive Plan, subject to continuing employment. The Award was approved by the Board of Directors of the issuer for purposes of 16b-3 and includes a tax withholding feature. The Award will vest at a rate of one (1) increment equal to 50% of the shares on February 28, 2018 and then eight (8) increments equal to 6.25% of the shares on a quarterly basis thereafter, ending February 29, 2020.