SEC Form 4 · accession 0001209191-16-092564
Energous Corp · WATT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Gaulding
Director
Period of report
Jan 15, 2016
Accepted (ET)
Jan 20, 2016 · 4:18 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 StockF1 | Jan 15, 2016 | M | 25,000 | $0.00 | A | 25,016 | D | |
| Common StockF2 | Jan 15, 2016 | M | 4,394 | $0.00 | A | 29,410 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Jan 15, 2016 | M | 25,000 | D | — | — | Common Stock | 25,000 | 0 | D |
| Restricted Stock UnitsF3,F5 | — | Jan 15, 2016 | M | 4,394 | D | — | — | Common Stock | 4,394 | 0 | D |
Explanation of responses
- F1Represents shares of common stock received upon vesting of a restricted stock unit award that vested on January 1, 2016 and settled on January 15, 2016.
- F2Represents shares of common stock received upon vesting of a restricted stock unit award that vested on January 2, 2016 and settled on January 15, 2016.
- F3Each restricted stock unit represents a contingent right to receive one share of common stock.
- F4Represents a restricted stock unit award granted on May 21, 2015 that vested on January 1, 2016 and settled on January 15, 2016.
- F5Represents a restricted stock unit award granted on January 2, 2015 that vested on January 2, 2016 and settled on January 15, 2016.