SEC Form 4 · accession 0000919574-16-016998
DATAWATCH CORP · DWCH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000792130
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 30, 2016 | S | 1,300 | $6.40 | D | 1,789,330 | I | See Footnote |
| Common StockF2,F1 | Nov 30, 2016 | P | 15,487 | $6.35 | A | 1,804,817 | I | See Footnote |
| Common StockF3,F1 | Nov 30, 2016 | S | 51,345 | $6.29 | D | 1,753,472 | I | See Footnote |
| Common StockF1 | Nov 30, 2016 | P | 100 | $6.30 | A | 1,753,572 | I | See Footnote |
| Common StockF4,F1 | Nov 30, 2016 | S | 36,348 | $6.17 | D | 1,717,224 | I | See Footnote |
| Common StockF5,F1 | Nov 30, 2016 | P | 25,000 | $6.19 | A | 1,742,224 | I | See Footnote |
| Common StockF6,F1 | Nov 30, 2016 | S | 21,155 | $6.02 | D | 1,721,069 | I | See Footnote |
| Common StockF7,F1 | Nov 30, 2016 | P | 50,100 | $6.03 | A | 1,771,169 | I | See Footnote |
| Common StockF8,F1 | Nov 30, 2016 | S | 10,500 | $6.10 | D | 1,760,669 | I | See Footnote |
| Common StockF9,F1 | Nov 30, 2016 | P | 631 | $6.02 | A | 1,761,300 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are held in the accounts of private investment funds managed by G2 Investment Partners Management LLC ("G2 Investment Partners Management") and may be deemed to be beneficially owned by (i) G2 Investment Partners Management, (ii) G2 Investment Partners GP LLC, and (iii) Josh Goldberg, the managing member of G2 Investment Partners Management and G2 Investment Partners GP LLC (collectively, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.
- F2The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Persons. The actual prices of such purchases ranged from $6.35 to $6.40 The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F3The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Persons. The actual prices of such sales ranged from $6.25 to $6.35. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Persons. The actual prices of such sales ranged from $6.15 to $6.20. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F5The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Persons. The actual prices of such purchases ranged from $6.15 to $6.20 The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F6The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Persons. The actual prices of such sales ranged from $6.00 to $6.15. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F7The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Persons. The actual prices of such purchases ranged from $6.00 to $6.05 The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F8The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Persons. The actual prices of such sales ranged from $6.10 to $6.13. The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F9The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Persons. The actual prices of such purchases ranged from $6.00 to $6.10 The Reporting Persons undertake to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.