AutoWeb, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-06-22: Reporting owner Ceiba International Corp; Form 4; Security Warrant (Right to buy Series B Preferred Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-22: Reporting owner Vargas Jose J.; Form 4; Security Warrant (right to buy Series B Preferred Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-22: Reporting owner Vargas Jose J.; Form 4; Security Warrant (right to buy Series B Preferred Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-22: Reporting owner Tezanos Matias de; Form 4; Security Warrant (right to buy Series B Preferred Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-06-22 | Ceiba International Corp 10% Owner | 4 | Warrant (Right to buy Series B Preferred Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,797 0 owned after | $184.87 exercise price | 2018-04-26 | |
| 2017-06-22 | Vargas Jose J. Director, Officer (CHIEF REVENUE OFFICER), 10% Owner | 4 | Warrant (right to buy Series B Preferred Stock) Derivative · Indirect · Held by Galeb3, Inc. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,493 0 owned after | $184.87 exercise price | 2017-11-13 | |
| 2017-06-22 | Vargas Jose J. Director, Officer (CHIEF REVENUE OFFICER), 10% Owner | 4 | Warrant (right to buy Series B Preferred Stock) Derivative · Indirect · Held By People F, Inc. and PF Holdings, Inc. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,495 0 owned after | $184.87 exercise price | 2017-11-13 | |
| 2017-06-22 | Tezanos Matias de Director, 10% Owner | 4 | Warrant (right to buy Series B Preferred Stock) Derivative · Indirect · Held by Manatee Ventures, Inc. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −39,077 0 owned after | $184.87 exercise price | 2017-11-13 | |
| 2017-06-22 | Tezanos Matias de Director, 10% Owner | 4 | Warrant (right to buy Series B Preferred Stock) Derivative · Indirect · Held By People F, Inc. and PF Holdings, Inc. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,495 0 owned after | $184.87 exercise price | 2017-11-13 | |
| 2017-06-22 | FERRIOLO WILLIAM Officer (EVP, CHIEF OPERATING OFFICER) | 4 | Series B Junior Participating Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,799 0 owned after | $12.49 exercise price | 2017-09-28 | |
| 2017-06-22 | FERRIOLO WILLIAM Officer (EVP, CHIEF OPERATING OFFICER) | 4 | Warrant (right to buy Series B Preferred Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,352 0 owned after | $184.87 exercise price | 2017-09-28 | |
| 2016-05-20 | PF Auto, Inc. 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Direct | J Other acquisition or disposition (describe transaction) | −116,813 0 owned after | $124.90 | 2016-05-20 | |
| 2016-05-19 | Ceiba International Corp 10% Owner | 4 | Series B Preferred Stock-Convertible/non-voting Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +16,168 25,841 owned after | $101.40 | 2016-05-23 | |
| 2016-05-19 | PF Auto, Inc. 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −16,168 116,813 owned after | $101.40 | 2016-05-20 | |
| 2015-10-06 holding as of filing | MYLOD ROBERT J JR Director | 3 | Series B Junior Participating Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2015-10-06 | ||
| 2015-10-01 | Vargas Jose J. | Galeb3 Inc Director, Officer (Chief Revenue Officer), 10% Owner | 10% Owner | 4/A | Series B Preferred Stock - convertible/non-voting Derivative · Indirect · Held by PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +33,286 33,286 owned after | $124.90 | 2016-05-20 | |
| 2015-10-01 | Tezanos Matias de | Manatee Ventures Inc. Director, Officer (Chief Strategy Officer), 10% Owner | | 4/A | Series B Preferred Stock - convertible/non-voting Derivative · Indirect · Held by PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +58,553 58,553 owned after | $124.90 | 2016-05-20 | |
| 2015-10-01 | Investment & Development Finance Corp. | Ceiba International Corp 10% Owner | 10% Owner | 4/A | Series B Preferred Stock- Convertible/non-voting Derivative · Direct | J Other acquisition or disposition (describe transaction) | +9,673 9,673 owned after | $124.90 | 2015-11-20 | |
| 2015-10-01 | Klose de Ojeda John Peter 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Indirect · Held in the name of Ceiba International Corp. | J Other acquisition or disposition (describe transaction) | +9,673 9,673 owned after | $124.90 | 2015-10-13 | |
| 2015-10-01 | Klose de Ojeda John Peter 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Indirect · Held in the name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +2,238 11,911 owned after | $124.90 | 2015-10-13 | |
| 2015-10-01 | Aitkenhead Castillo Richard 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Indirect · Held in the name of Ceiba International Corp. | J Other acquisition or disposition (describe transaction) | +9,673 9,673 owned after | $124.90 | 2015-10-13 | |
| 2015-10-01 | Aitkenhead Castillo Richard 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Indirect · Held in the name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +2,238 11,911 owned after | $124.90 | 2015-10-13 | |
| 2015-10-01 | PF Auto, Inc. 10% Owner | 4 | Series B Preferred Stock - convertible/non-voting Derivative · Direct | J Other acquisition or disposition (describe transaction) | +132,981 132,981 owned after | $124.90 | 2015-10-13 | |
| 2015-10-01 | Galeb3 Inc | Vargas Jose Sr 10% Owner | Director, Officer (Chief Revenue Officer), 10% Owner | 4 | Series B Preferred Stock - Convertible/non-voting Derivative · Indirect · Held in name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +32,322 32,322 owned after | $124.90 | 2015-10-05 | |
| 2015-10-01 | Galeb3 Inc | Vargas Jose Sr 10% Owner | Director, Officer (Chief Revenue Officer), 10% Owner | 4 | Series B Preferred Stock - Convertible/non-voting Derivative · Indirect · Held in name of Galeb3, Inc. | J Other acquisition or disposition (describe transaction) | +773 33,095 owned after | $124.90 | 2015-10-05 | |
| 2015-10-01 | Tezanos Matias de | Manatee Ventures Inc. Director, Officer (Chief Strategy Officer), 10% Owner | 10% Owner | 4 | Series B Preferred Stock--Convertible/non-voting Derivative · Indirect · Held by PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +57,456 57,456 owned after | $124.90 | 2015-10-05 | |
| 2015-10-01 | Tezanos Matias de | Manatee Ventures Inc. Director, Officer (Chief Strategy Officer), 10% Owner | 10% Owner | 4 | Series B Preferred Stock--Convertible/non-voting Derivative · Indirect · Held by Manatee Ventures, Inc. | J Other acquisition or disposition (describe transaction) | +773 58,229 owned after | $124.90 | 2015-10-05 | |
| 2015-10-01 | Ceiba International Corp | International Development & Financial Corp. 10% Owner | 10% Owner | 4 | Series B Preferred Stock- Convertible/non-voting Derivative · Indirect · Held in name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +2,238 2,238 owned after | $124.90 | 2015-10-05 | |
| 2015-10-01 | International Development & Financial Corp. | Ceiba International Corp 10% Owner | 10% Owner | 4 | Series B Preferred Stock-Convertible/non-voting Derivative · Direct | J Other acquisition or disposition (describe transaction) | +9,673 9,673 owned after | $124.90 | 2015-10-05 | |
| 2015-10-01 | FERRIOLO WILLIAM Officer (EVP Consumer Acquisitions) | 4 | Series B Junior Participating Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,799 3,799 owned after | no price filed | 2015-10-05 | |
| 2015-10-01 | FERRIOLO WILLIAM Officer (EVP Consumer Acquisitions) | 4 | Warrant (right to buy Series B Preferred Stock) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +3,352 3,352 owned after | no price filed | 2015-10-05 |