AutoWeb, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-11-20: Reporting owner Klose Margarita Rosales | Auto Holdings Ltd. | Klose Pieters Juan Christian; Form 3/A; Security Note Convertible into Common Stock; Transaction Holding.
- 2015-11-20: Reporting owner Vargas Jose J. | Investment & Development Finance Corp. | Galeb3 Inc | Aitkenhead Castillo Richard | Ceiba International Corp | Manatee Ventures Inc. | Klose de Ojeda John Peter | Tezanos Matias de | Auto Holdings Ltd. | IDC Financial S.A.; Form 3/A; Security Note Convertible into Common Stock; Transaction Holding.
- 2015-05-04: Reporting owner Aitkenhead Castillo Richard | Tezanos Matias de | Vargas Jose Sr | International Development & Financial Corp. | Klose de Ojeda John Peter | Auto Holdings Ltd. | Manatee Ventures Inc. | Ceiba International Corp | Galeb3 Inc; Form 3; Security Note Convertible into Common Stock; Transaction Holding.
- 2015-04-27: Reporting owner Klose Margarita Rosales | Klose Pieters Juan Christian | Auto Holdings Ltd.; Form 4/A; Security Common Stock issued on conversion of Convertible Note; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-11-20 holding as of filing | Klose Margarita Rosales | Auto Holdings Ltd. | Klose Pieters Juan Christian 10% Owner | 10% Owner | 10% Owner | 3/A | Note Convertible into Common Stock Derivative · Direct | Holding | $4.65 exercise price | 2015-11-20 | ||
| 2015-11-20 holding as of filing | Vargas Jose J. | Investment & Development Finance Corp. | Galeb3 Inc | Aitkenhead Castillo Richard | Ceiba International Corp | Manatee Ventures Inc. | Klose de Ojeda John Peter | Tezanos Matias de | Auto Holdings Ltd. | IDC Financial S.A. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Note Convertible into Common Stock Derivative · Direct | Holding | $4.65 exercise price | 2015-11-20 | ||
| 2015-05-04 holding as of filing | Aitkenhead Castillo Richard | Tezanos Matias de | Vargas Jose Sr | International Development & Financial Corp. | Klose de Ojeda John Peter | Auto Holdings Ltd. | Manatee Ventures Inc. | Ceiba International Corp | Galeb3 Inc 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Note Convertible into Common Stock Derivative · Direct | Holding | $4.65 exercise price | 2015-05-04 | ||
| 2015-04-27 | Klose Margarita Rosales | Klose Pieters Juan Christian | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock issued on conversion of Convertible Note Non-derivative · Direct | C Conversion of derivative security | +1,075,268 1,576,145 owned after | $0.00 | 2015-11-20 | |
| 2015-04-27 | Klose Margarita Rosales | Klose Pieters Juan Christian | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Note Convertible into Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −1,075,268 0 owned after | $4.65 exercise price | 2015-11-20 | |
| 2015-04-27 | IDC Financial S.A. | Manatee Ventures Inc. | Investment & Development Finance Corp. | Ceiba International Corp | Vargas Jose J. | Klose de Ojeda John Peter | Aitkenhead Castillo Richard | Galeb3 Inc | Auto Holdings Ltd. | Tezanos Matias de 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock issued on conversion of Convertible Note Non-derivative · Direct | C Conversion of derivative security | +1,075,268 1,576,145 owned after | $0.00 | 2015-11-20 | |
| 2015-04-27 | IDC Financial S.A. | Manatee Ventures Inc. | Investment & Development Finance Corp. | Ceiba International Corp | Vargas Jose J. | Klose de Ojeda John Peter | Aitkenhead Castillo Richard | Galeb3 Inc | Auto Holdings Ltd. | Tezanos Matias de 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Note Convertible into Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −1,075,268 0 owned after | $4.65 exercise price | 2015-11-20 | |
| 2015-04-27 | Klose de Ojeda John Peter | Vargas Jose Sr | Tezanos Matias de | Ceiba International Corp | Aitkenhead Castillo Richard | International Development & Financial Corp. | Galeb3 Inc | Manatee Ventures Inc. | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock issued on conversion of Convertible Note Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,075,268 1,475,268 owned after | $0.00 | 2015-05-04 | |
| 2015-04-27 | Klose de Ojeda John Peter | Vargas Jose Sr | Tezanos Matias de | Ceiba International Corp | Aitkenhead Castillo Richard | International Development & Financial Corp. | Galeb3 Inc | Manatee Ventures Inc. | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Note Convertible into Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −1,075,268 0 owned after | $4.65 exercise price | 2015-05-04 | |
| 2015-04-27 | IBBF Ventures, Inc. | Atrop, Inc. Other (Former 10% owner) | Other (Former 10% owner) | 4 | Convertible Subordinated Promissory Note Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1 0 owned after | $1,075,268.00 | 2015-04-29 | |
| 2015-04-27 | Bentley Ian 10% Owner | 4 | Convertible Subordinated Promissory Note Derivative · Indirect · Derivative Securities | S Open market or private sale of non-derivative or derivative security | −1 0 owned after | $1,075,268.00 | 2015-04-29 | |
| 2015-04-27 | FERRIOLO WILLIAM Officer (EVP Consumer Acquisitions) | 4 | Convertible Subordinated Promissory Note Derivative · Indirect · Derivative Securities | S Open market or private sale of non-derivative or derivative security | −1 0 owned after | $10,775,180.00 | 2015-04-29 | |
| 2013-08-12 holding as of filing | Bentley Ian 10% Owner | 3 | Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | $4.65 exercise price | 2013-08-12 | ||
| 2013-08-12 holding as of filing | Atrop, Inc. | IBBF Ventures, Inc. 10% Owner | 10% Owner | 3 | Convertible Subordinated Promissory Note Derivative · Direct | Holding | $4.65 exercise price | 2013-08-12 | ||
| 2011-12-12 holding as of filing | FERRIOLO WILLIAM Officer (SVP Consumer Acq & Product Dev) | 3 | Convertible Subordinated Promissory Note Derivative · Indirect · (m) | Holding | $0.93 exercise price | 2011-12-12 |