AutoWeb, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-02: Reporting owner KAPLAN MARK N; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-02: Reporting owner Thompson Janet M; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-02: Reporting owner Stibel Jeffrey M; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-11-02: Reporting owner ROSS MARK R; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-11-02 | KAPLAN MARK N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.76 | 2009-11-03 | |
| 2009-11-02 | Thompson Janet M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.76 | 2009-11-03 | |
| 2009-11-02 | Stibel Jeffrey M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.76 | 2009-11-03 | |
| 2009-11-02 | ROSS MARK R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.76 | 2009-11-03 | |
| 2009-11-02 | FUCHS MICHAEL J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.76 | 2009-11-03 | |
| 2009-09-22 | SZATKOWSKI RICK Officer (SVP, Business Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.62 exercise price | 2009-09-23 | |
| 2009-09-22 | Ozima Wesley Officer (VP & Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,750 18,750 owned after | $0.62 exercise price | 2009-09-23 | |
| 2009-09-22 | Garms Mark Officer (EVP & Chief Operating Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +71,220 71,220 owned after | $0.62 exercise price | 2009-09-23 | |
| 2009-09-22 | Fuller Glenn Evan Officer (EVP, CLO & Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,852 49,852 owned after | $0.62 exercise price | 2009-09-23 | |
| 2009-09-22 | DeWalt Curtis E Officer (SVP & Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,975 56,975 owned after | $0.62 exercise price | 2009-09-23 | |
| 2009-04-07 holding as of filing | SZATKOWSKI RICK Officer (SVP, Business Development) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.18 exercise price | 2009-04-07 | ||
| 2009-04-07 holding as of filing | SZATKOWSKI RICK Officer (SVP, Business Development) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.06 exercise price | 2009-04-07 | ||
| 2009-04-07 holding as of filing | SZATKOWSKI RICK Officer (SVP, Business Development) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2009-04-07 | ||
| 2009-04-03 | COATS JEFFREY H Director, Officer (President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $0.35 exercise price | 2009-04-08 | |
| 2009-03-10 holding as of filing | Ozima Wesley Officer (Vice President and Controller) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $7.00 exercise price | 2009-03-10 | ||
| 2009-03-10 holding as of filing | Ozima Wesley Officer (Vice President and Controller) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.86 exercise price | 2009-03-10 | ||
| 2009-03-10 holding as of filing | Ozima Wesley Officer (Vice President and Controller) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $2.99 exercise price | 2009-03-10 | ||
| 2009-03-10 holding as of filing | Ozima Wesley Officer (Vice President and Controller) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $3.13 exercise price | 2009-03-10 | ||
| 2009-03-10 holding as of filing | Ozima Wesley Officer (Vice President and Controller) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.06 exercise price | 2009-03-10 | ||
| 2009-03-10 holding as of filing | Ozima Wesley Officer (Vice President and Controller) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2009-03-10 | ||
| 2009-03-03 | Garms Mark Officer (SVP, Chief Operating Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | $0.35 exercise price | 2009-03-10 | |
| 2009-03-03 | Fuller Glenn Evan Officer (EVP/CLO/Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,500 87,500 owned after | $0.35 exercise price | 2009-03-10 | |
| 2009-03-03 | DeWalt Curtis E Officer (SVP, Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.35 exercise price | 2009-03-10 |