SEC Form 4 · accession 0001209191-15-041998
OPOWER, INC. · OPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Yates
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
May 8, 2015
Accepted (ET)
May 12, 2015 · 9:00 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 Stock | May 8, 2015 | J | 5,167 | $0.00 | A | 6,394,346 | D | |
| Common StockF2 | holding | — | — | — | 1,593,750 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired by the Reporting Person pursuant to a pro rata distribution by a limited partnership to its partners for no additional consideration.
- F2Shares held by the Yates-Whitman 2013 Annuity Trust #1.
Remarks
This filing omits shares held by Trustees of the Ralph Aaron Yates and Dorit Strauss Yates Declaration of Trust Dated December 19, 1990, because the Reporting Person is no longer deemed to be a beneficial owner of the shares.