SEC Form 4 · accession 0001144204-16-131418
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
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 4:45 pm EDT
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 1, 2016 | A | 5,000 | $0.00 | A | 144,367 | D | |
| Common StockF2 | holding | — | — | — | 60 | I | By Daughter | |
| Common StockF2 | holding | — | — | — | 45 | I | By Son | |
| Common StockF2 | holding | — | — | — | 33 | I | By Son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities awarded on 11/1/2016 are in the form of restricted stock units (RSUs) issued pursuant to the issuer's Second Amended and Restated 2011 Equity Compensation and Incentive Plan. 1,666 RSUs will vest on 11/15/2017 and an additional 1,667 RSUs will vest at 11/15/2018, with the final 1,667 RSUs vesting on 11/15/2019. This vesting schedule is subject to acceleration in certain instances in connection with an acquisition or other change of control event.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.