SEC Form 4 · accession 0001209191-16-146226
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Gustafson
Officer — EVP, COO & Interim CFO
Period of report
Oct 14, 2016
Accepted (ET)
Oct 18, 2016 · 5:37 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,F3 | Oct 14, 2016 | A | 19,901 | — | A | 331,366 | D | |
| Common StockF4 | Oct 14, 2016 | D | 6,190 | $4.02 | D | 325,176 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Award was approved by the Board of Directors of the issuer for purposes of 16b-3 and includes a tax withholding feature. The Award vested in full on 10/14/2016.
- F2Not Applicable
- F3Includes 1500 shares of Common Stock acquired on 9/30/2016 through the Mattersight Corporation 1999 Employee Stock Purchase Plan.
- F4This is not an open market sale of securities. This is a disposition of shares to the issuer in the form of share withholding upon vesting of restricted stock, to satisfy mandatory tax withholding obligations. The disposition occurred pursuant to a pre-existing award agreement and equity incentive plan and was approved in advance in the manner provided in Rule 16b-3(e) under the Securities Exchange Act of 1934.