SEC Form 4 · accession 0001140361-17-035400
Energous Corp · WATT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Sereda
Officer — Senior Vice President & CFO
Period of report
Sep 8, 2017
Accepted (ET)
Sep 13, 2017 · 8:09 pm EDT
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 StockF1 | Jul 27, 2017 | G | 46,015 | $0.00 | D | 71,869 | D | |
| Common StockF2 | Jul 27, 2017 | A | 46,015 | $0.00 | A | 46,015 | I | The Sereda Family Trust |
| Common StockF3,F2 | Sep 8, 2017 | S | 34,000 | $13.0895 | D | 12,015 | I | The Sereda Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 452 shares acquired under the Issuer's employee stock purchase plan on June 30, 2017.
- F2Shares held of record by Brian James Sereda and Denise Carole Sereda, Trustees of The Sereda Family Trust dated June 21, 2002.
- F3The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.75 to $13.53 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.