SEC Form 4 · accession 0001209191-17-009719
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David B Mullen
Officer — CFO · Director
Period of report
Feb 8, 2017
Accepted (ET)
Feb 10, 2017 · 6:23 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 | Feb 8, 2017 | A | 305,000 | — | A | 373,000 | D | |
| Common StockF3,F2 | Feb 8, 2017 | A | 3,200 | — | A | 376,200 | D | |
| Common StockF4 | Feb 8, 2017 | F | 1,165 | $3.50 | D | 375,035 | 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 Rule 16b-3 and includes a tax withholding feature. The award will vest quarterly commencing on May 31, 2017, and then quarterly thereafter, ending February 29, 2020.
- F2Not Applicable
- F3The 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 02/08/2017.
- 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 common stock, to satisfy mandatory tax withholding obligations. The disposition occurred pursuant to an equity incentive plan and was approved in advance in the manner provided in Rule 16b-3(e) under the Securities Exchange Act of 1934.