SEC Form 4 · accession 0000919574-17-000119
DATAWATCH CORP · DWCH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
G2 INVESTMENT PARTNERS QP LP
10% Owner
Josh Goldberg
10% Owner
G2 Investment Partners GP LLC
10% Owner
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 5:52 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 StockF4,F1 | Jan 3, 2017 | P | 2,977 | $5.50 | A | 1,545,311 | D | |
| Common StockF5,F2 | Jan 3, 2017 | P | 3,659 | $5.50 | A | 1,831,234 | I | See Footnote |
| Common StockF1,F3 | Jan 3, 2017 | S | 520,555 | $5.60 | D | 1,024,756 | D | |
| Common StockF2 | Jan 3, 2017 | S | 571,739 | $5.60 | D | 1,259,495 | I | See Footnote |
| Common StockF6,F2 | Jan 4, 2017 | P | 2,891 | $5.53 | A | 1,262,386 | I | See Footnote |
| Common StockF7,F2 | Jan 4, 2017 | S | 6,892 | $5.52 | D | 1,255,494 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are directly owned by G2 Investment Partners QP LP (a "Reporting Person").
- F2These 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 (each a "Reporting Person" and together with G2 Investment Partners QP LP, 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.
- F3As a result of this sale on January 3, 2017, G2 Investment Partners QP LP's beneficial ownership of the outstanding securities of DWCH decreased to less than 10%. Accordingly, this Form 4 shall constitute an exit filing solely with respect to G2 Investment Partners QP LP.
- F4The reported price is the weighted average purchase price for purchases on January 3, 2017 by the Reporting Person. The actual prices of such purchases ranged from $5.50 to $5.55. The Reporting Person undertakes 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.
- F5The reported price is the weighted average purchase price for purchases on January 3, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.50 to $5.55. 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 purchase price for purchases on January 4, 2017 by the Reporting Persons. The actual prices of such purchases ranged from $5.45 to $5.55 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.
- F7The reported price is the weighted average sale price for sales on January 4, 2017 by the Reporting Persons. The actual prices of such sales ranged from $5.50 to $5.60. 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.