SEC Form 4/A · accession 0001209191-15-028320
OPOWER, INC. · OPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Daniel Yates
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Feb 12, 2015
Accepted (ET)
Mar 20, 2015 · 6:21 pm EDT
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,F3,F4 | Feb 12, 2015 | S | 4,946 | $13.0287 | D | 1,601,187 | I | See Footnote |
| Common StockF5,F3,F4 | Feb 13, 2015 | S | 7,437 | $13.3938 | D | 1,593,750 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These sales on February 12, 2014 and February 13, 2014 were 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.
- F3These are corrected balances of the Yates-Whitman 2013 Annuity Trust #1 as of February 12 and February 13, 2015.
- 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.
Remarks
This amended Form 4 corrects balances held by the Yates-Whitman 2013 Annuity Trust #1.