SEC Form 4 · accession 0001209191-15-003988
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
Jan 9, 2015
Accepted (ET)
Jan 13, 2015 · 6:53 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 StockF2 | Jan 9, 2015 | S | 4,566 | $14.0465 | D | 6,540,276 | D | |
| Common StockF2,F3 | Jan 9, 2015 | S | 1,134 | $14.0465 | D | 1,635,116 | I | See Footnote |
| Common StockF4 | Jan 12, 2015 | S | 7,780 | $13.7663 | D | 6,532,496 | D | |
| Common StockF4,F3 | Jan 12, 2015 | S | 1,932 | $13.7663 | D | 1,633,184 | I | See Footnote |
| Common StockF5 | Jan 13, 2015 | S | 9,904 | $13.7166 | D | 6,522,592 | D | |
| Common StockF5,F3 | Jan 13, 2015 | S | 2,459 | $13.7166 | D | 1,630,725 | I | See Footnote |
| Common StockF6 | holding | — | — | — | 50,000 | I | See Footnote | |
| Common StockF7 | holding | — | — | — | 1,274 | I | See Footnote | |
| Common StockF8 | holding | — | — | — | 50,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale was effected pursuant to Rule 10b5-1 trading plans adopted by the Reporting Person on June 12, 2014.
- F2This sale price represents the weighted average sale price of the shares sold ranging from $13.98 to $14.12 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F3Shares held by the Yates-Whitman 2013 Annuity Trust #1.
- F4This sale price represents the weighted average sale price of the shares sold ranging from $13.60 to $13.90 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F5This sale price represents the weighted average sale price of the shares sold ranging from $13.49 to $13.9727 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F6Shares held by Ivan Jellinek and Monica Jellinek, who have granted an irrevocable proxy to Mr. Yates.
- F7Shares held by Pierre Poussard and Mary Winston Nicklin, who have granted an irrevocable proxy to Mr. Yates.
- F8Shares 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.