SEC Form 4 · accession 0001144204-15-008078
DATAWATCH CORP · DWCH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjay K Mistry
Officer — Vice President, Controller
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 7:39 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 | Feb 9, 2015 | P | 10,000 | $6.255 | A | 54,700 | D | |
| Common StockF2,F3 | Feb 10, 2015 | P | 19,300 | $6.205 | A | 74,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.97 to $6.30. 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 request, full information regarding the number of shares purchased at each separate price within this range.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.13 to $6.25. 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 request, full information regarding the number of shares purchased at each separate price within this range.
- F3The reporting person's purchase of Issuer's common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 1,333 shares, with the reporting person's sale of 1,333 shares of DWCH common stock on December 15, 2014 (the "December 15 Sale"), as previously reported. The reporting person has agreed in writing with the Issuer to pay to the Issuer $3,172.71, representing an amount equal to (i) the full amount of the profit realized from the matching transactions ($3,371.06) minus (ii) the amount of profit previously disgorged to the Company arising from the matching of the December 15 Sale to a purchase the Issuer's common stock by the reporting person also on December 15, 2014 ($198.35), as reported in the reporting person's Form 4 filed on December 17, 2014. The reporting person has made such payment prior to the filing of this Form.