SEC Form 4 · accession 0001140361-16-090130
Energous Corp · WATT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Gaulding
Director
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 9:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001575793
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 15, 2016 | M | 19,013 | $4.99 | A | 40,022 | D | |
| Common StockF1 | Dec 15, 2016 | S | 19,013 | $16.9976 | D | 21,009 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock Option (Right to Buy)F2 | $4.99 | Dec 15, 2016 | M | 19,013 | D | — | Mar 15, 2024 | Common Stock | 19,013 | 0 | D |
Explanation of responses
- F1The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.79 to $17.10 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The option is 100% vested.