SEC Form 4 · accession 0001209191-15-014801
OPOWER, INC. · OPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Daniel Yates
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Feb 12, 2015
Accepted (ET)
Feb 17, 2015 · 6:58 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 | Feb 12, 2015 | S | 19,918 | $13.0287 | D | 6,408,799 | D | |
| Common Stock | Feb 12, 2015 | J | 5,167 | $0.00 | A | 6,413,966 | D | |
| Common StockF2,F4 | Feb 12, 2015 | S | 4,946 | $13.0287 | D | 1,612,593 | I | See Footnote |
| Common StockF5 | Feb 13, 2015 | S | 29,954 | $13.3938 | D | 6,384,012 | D | |
| Common StockF5,F4 | Feb 13, 2015 | S | 7,437 | $13.3938 | D | 1,605,156 | I | See Footnote |
| Common StockF6 | 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 $12.75 to $13.21 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 acquired by the Reporting Person pursuant to a pro rata distribution by a limited partnership to its partners for no additional consideration.
- F4Shares held by the Yates-Whitman 2013 Annuity Trust #1.
- F5This sale price represents the weighted average sale price of the shares sold ranging from $13.05 to $13.66 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 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.