AutoWeb, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 40 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-14: Reporting owner STEERMAN JOHN; Form 3/A; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2011-12-12: Reporting owner BOREN KIM; Form 3/A; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2011-12-12: Reporting owner FERRIOLO WILLIAM; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2011-12-12: Reporting owner FERRIOLO WILLIAM; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-14 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3/A | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.76 exercise price | 2011-12-14 | ||
| 2011-12-12 holding as of filing | BOREN KIM Officer (SVP Analytics & Advertisng Ops) | 3/A | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.76 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | FERRIOLO WILLIAM Officer (SVP Consumer Acq & Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.84 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | FERRIOLO WILLIAM Officer (SVP Consumer Acq & Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.96 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | FERRIOLO WILLIAM Officer (SVP Consumer Acq & Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.76 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.30 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.35 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.06 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.62 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.96 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.35 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.10 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | STEERMAN JOHN Officer (SVP, Lead & Web Product Dev) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.76 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | BOREN KIM Officer (SVP Analytics & Advertisng Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.79 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | BOREN KIM Officer (SVP Analytics & Advertisng Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.86 exercise price | 2011-12-12 | ||
| 2011-12-12 holding as of filing | BOREN KIM Officer (SVP Analytics & Advertisng Ops) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.96 exercise price | 2011-12-12 | ||
| 2011-12-07 | Petrone John Officer (V.P., Chief Technology Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.76 exercise price | 2011-12-08 | |
| 2011-12-07 | 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) | +5,000 5,000 owned after | $0.76 exercise price | 2011-12-08 | |
| 2011-12-07 | Lind Stephen D Officer (EVP, Business Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.76 exercise price | 2011-12-08 | |
| 2011-12-07 | Helberg James Officer (EVP Product, Marketing & Analy) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.76 exercise price | 2011-12-08 | |
| 2011-12-07 | 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) | +10,000 10,000 owned after | $0.76 exercise price | 2011-12-08 | |
| 2011-12-07 | 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) | +10,000 10,000 owned after | $0.76 exercise price | 2011-12-08 | |
| 2011-08-08 | 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) | +25,000 25,000 owned after | $1.10 exercise price | 2011-08-10 | |
| 2011-07-25 | ROSS MARK R Other (Former Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $0.90 exercise price | 2011-07-27 | |
| 2011-07-25 | ROSS MARK R Other (Former Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.77 exercise price | 2011-07-27 | |
| 2011-07-25 | ROSS MARK R Other (Former Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.76 exercise price | 2011-07-27 | |
| 2011-07-19 | Helberg James Officer (EVP Product, Marketing & Analy) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.10 exercise price | 2011-07-21 | |
| 2011-07-19 | Petrone John Officer (SVP, Chief Technology Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.10 exercise price | 2011-07-21 | |
| 2011-06-23 | Thompson Janet M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.98 exercise price | 2011-06-28 | |
| 2011-06-23 | Stibel Jeffrey M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.98 exercise price | 2011-06-28 | |
| 2011-06-23 | KAPLAN MARK N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.98 exercise price | 2011-06-28 | |
| 2011-06-23 | FUCHS MICHAEL J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.98 exercise price | 2011-06-28 | |
| 2011-01-20 | Petrone John Officer (SVP, Chief Technology Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +94,991 94,991 owned after | $0.96 exercise price | 2011-01-24 | |
| 2011-01-20 | 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) | +42,314 42,314 owned after | $0.96 exercise price | 2011-01-24 | |
| 2011-01-20 | Lind Stephen D Officer (EVP, Business Development) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +123,315 123,315 owned after | $0.96 exercise price | 2011-01-24 | |
| 2011-01-20 | Helberg James Officer (EVP Product, Marketing & Analy) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,569 130,569 owned after | $0.96 exercise price | 2011-01-24 | |
| 2011-01-20 | 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) | +123,315 123,315 owned after | $0.96 exercise price | 2011-01-24 | |
| 2011-01-20 | 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) | +94,991 94,991 owned after | $0.96 exercise price | 2011-01-24 | |
| 2011-01-20 | COATS JEFFREY H Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +232,122 232,122 owned after | $0.96 exercise price | 2011-01-24 |