SEC Form 4 · accession 0001225208-16-033570
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tench Coxe
Director · 10% Owner
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 6:11 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 | $0.00 | A | 88,494 | D | |
| Common StockF3 | holding | — | — | — | 1,283,497 | I | By Ltd Partnership (ROOS) | |
| Common StockF4 | holding | — | — | — | 1,124,042 | I | By Ltd Partnership (SHV) | |
| Common StockF5 | holding | — | — | — | 73,411 | I | By Profit Sharing Plan Trust | |
| Common StockF6 | holding | — | — | — | 412,171 | I | By Trust (Trustees) |
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)F7,F2 | $3.57 | May 13, 2016 | A | 10,000 | A | — | May 13, 2026 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Annual grant of time-vesting restricted stock award pursuant to Mattersight Corporation 1999 Stock Incentive Plan. This grant will vest as to 25% of the shares on May 31, 2016, with the remainder in equal quarterly increments thereafter, such that the award will be fully vested on February 28, 2017.
- F2The reporting person shares pecuniary interest in these shares with other individuals pursuant to a contractual relationship. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.
- F3Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- F4Shares held by Sutter Hill Ventures, A California Limited Partnership. The reporting person is a managing director and member of the management committe of the general partner of Sutter Hill Ventures, A California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- F5Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
- F6Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.
- F7Annual grant of option pursuant to Mattersight Corporation 1999 Stock Incentive Plan. This grant will vest as to 25% of the shares on May 31, 2016, with the remainder in equal quarterly increments thereafter, such that the option will be fully vested on February 28, 2017.