SEC Form 4 · accession 0001209191-16-120775
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Feinberg
Director
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 4:39 pm EDT
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 | May 13, 2016 | A | 10,000 | — | A | 138,177 | I | Henry J. Feinberg Trust dated 03/28/97 |
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)F4,F2,F3 | $3.57 | May 13, 2016 | A | 10,000 | A | — | May 13, 2026 | Common Stock | 10,000 | 10,000 | I |
Explanation of responses
- F1Annual grant of time-vesting restricted stock pursuant to Mattersight Corporation 1999 Stock Incentive Plan.
- F2Henry J. Feinberg ("Feinberg") is the sole trustee of the Henry J. Feinberg Trust dated 03/28/97. Feinberg disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
- F3Annual option grant pursuant to Mattersight Corporation 1999 Stock Incentive Plan. Option vests in equal quarterly increments of 25% starting on May 31, 2016.
- F4Not Applicable