SEC Form 4 · accession 0001209191-15-002694
OPOWER, INC. · OPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Yates
Officer — Chief Executive Officer · Director
Period of report
Dec 15, 2014
Accepted (ET)
Jan 7, 2015 · 12:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412043
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 15, 2014 | G | 50,000 | $0.00 | D | 6,544,842 | D | |
| Common StockF1 | holding | — | — | — | 1,636,250 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 50,000 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 1,274 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 50,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held by the Yates-Whitman 2013 Annuity Trust #1.
- F2Shares held by Ivan Jellinek and Monica Jellinek, who have granted an irrevocable proxy to Mr. Yates.
- F3Shares held by Pierre Poussard and Mary Winston Nicklin, who have granted an irrevocable proxy to Mr. Yates.
- F4Shares held by Ralph Aaron Yates, Dorit Strauss Yates and Daniel Joseph Yates, Trustees of the Ralph Aaron Yates and Dorit Strauss Yates Declaration of Trust Dated December 19, 1990, who have granted an irrevocable proxy to Mr. Yates.