SEC Form 4/A · accession 0001562180-16-001743
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
Jeremy Kirsch
Officer — EVP and GM, Worldwide Sales
Period of report
Jan 2, 2015
Accepted (ET)
Feb 22, 2016 · 6:51 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 | Jan 2, 2015 | M | 7,666 | $0.045 | A | 120,165 | D | |
| Common StockF2 | Jan 2, 2015 | S | 7,666 | $14.4154 | D | 112,499 | D | |
| Common Stock | Jan 5, 2015 | M | 4,834 | $0.045 | A | 117,333 | D | |
| Common StockF3 | Jan 5, 2015 | S | 9,001 | $14.1866 | D | 108,332 | D | |
| Common StockF4 | holding | — | — | — | 62,500 | I | See footnotes | |
| Common StockF5 | holding | — | — | — | 62,500 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F6 | $0.045 | Jan 2, 2015 | M | 7,666 | D | — | Jul 26, 2018 | Common Stock | 7,666 | 701,834 | D |
| Stock Option (Right to Buy)F6 | $0.045 | Jan 5, 2015 | M | 4,834 | D | — | Jul 26, 2018 | Common Stock | 4,834 | 697,000 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 9, 2014.
- F2The sale price reported in column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $14.25 to $14.60 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.
- F3The sale price reported in column 4 of Table 1 represents the weighted average sale price of the shares sold ranging from $14.01 to $14.43 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.
- F4Shares held by The Jeremy E. Kirsch 2013 Five-Year Grantor Retained Annuity Trust.
- F5Shares held by The Jeremy E. Kirsch 2013 Three-Year Grantor Retained Annuity Trust.
- F6The option is fully vested and exercisable. 12.5% of the shares vested January 14, 2009, 21.875% of the shares vested on July 14, 2009, and the remaining shares vested in equal monthly installments over the following three years.
Remarks
This amendment is being filed solely to add the attached written authorization.