SEC Form 4/A · accession 0001209191-16-137947
Energous Corp · WATT
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
Cesar Johnston
Officer — Senior VP of Engineering
Period of report
Dec 31, 2015
Accepted (ET)
Aug 19, 2016 · 4:15 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 | Feb 17, 2016 | A | 1,520 | $0.00 | A | 37,740 | D | |
| Common StockF2 | Feb 19, 2016 | M | 6,250 | $0.00 | A | 43,990 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Share UnitsF3,F4 | — | Dec 31, 2015 | A | 1,520 | A | — | — | Common Stock | 1,520 | 1,636 | D |
| Restricted Stock UnitsF5,F6 | — | Feb 19, 2016 | M | 6,250 | D | — | — | Common Stock | 6,250 | 6,250 | D |
Explanation of responses
- F1Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 31, 2015 based on the satisfaction of certain performance-based vesting requirements. The performance share units vested on December 31, 2015 and the shares of common stock were delivered on February 17, 2016.
- F2Represents shares of common stock received upon vesting of a restricted stock unit award that partially vested on February 16, 2016 and settled on February 19, 2016.
- F3Each performance share unit represents a contingent right to receive one share of common stock.
- F4Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on December 31, 2015 based on the satisfaction of certain performance-based vesting requirements. The performance share units vest on December 31, 2018.
- F5Each restricted stock unit represents a contingent right to receive one share of common stock.
- F6Represents a restricted stock unit award granted on December 17, 2015 that partially vested on February 16, 2016 and settled on February 19, 2016. The restricted stock unit award vests as follows: one-half on February 16, 2016 and the remaining one-half on October 22, 2016.