SEC Form 4 · accession 0001209191-15-030884
PFSWEB INC · PFSW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cynthia D Almond
Officer — Executive Vice President
Period of report
Mar 30, 2015
Accepted (ET)
Apr 1, 2015 · 5:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001095315
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 30, 2015 | M | 14,714 | $1.46 | A | 52,134 | D | |
| Common StockF1 | Mar 30, 2015 | S | 14,714 | $11.05 | D | 37,420 | D | |
| Common Stock | Mar 31, 2015 | M | 3,100 | $1.46 | A | 40,520 | D | |
| Common StockF2 | Mar 31, 2015 | S | 3,100 | $11.02 | D | 37,420 | D | |
| Common Stock | Apr 1, 2015 | M | 1,186 | $1.46 | A | 38,606 | D | |
| Common Stock | Apr 1, 2015 | S | 1,186 | $11.00 | D | 37,420 | D | |
| Common Stock | Apr 1, 2015 | M | 812 | $4.14 | A | 38,232 | D | |
| Common Stock | Apr 1, 2015 | S | 812 | $11.00 | D | 37,420 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to buyF3,F4 | $1.46 | Mar 30, 2015 | M | 14,714 | D | — | May 26, 2019 | Common Stock | 14,714 | 4,286 | D |
| Option to buyF3,F4 | $1.46 | Mar 31, 2015 | M | 3,100 | D | — | May 26, 2019 | Common Stock | 3,100 | 1,186 | D |
| Option to buyF3,F4 | $1.46 | Apr 1, 2015 | M | 1,186 | D | — | May 26, 2019 | Common Stock | 1,186 | 0 | D |
| Option to buyF3,F5 | $4.14 | Apr 1, 2015 | M | 812 | D | — | May 19, 2018 | Common Stock | 812 | 4,933 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 to $11.22 inclusive. The reporting person undertakes to provide to PFSweb, Inc., any security holder thereof or the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.00 to $11.07 inclusive. The reporting person undertakes to provide to PFSweb, Inc., any security holder thereof or the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3Exercise of employee stock option issued under employee stock option plan
- F4These shares became exercisable on a cumulative basis from August 27, 2009 to May 27, 2012
- F5These shares became exercisable on a cumulative basis from August 20, 2008 to May 20, 2011