AutoWeb, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-15: Reporting owner FERRIOLO WILLIAM; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-23: Reporting owner COATS JEFFREY H; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-11-22: Reporting owner COATS JEFFREY H; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-11-21: Reporting owner COATS JEFFREY H; Form 4; Security Employee Stock Option (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-15 | FERRIOLO WILLIAM 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) | +25,000 25,000 owned after | $14.10 exercise price | 2016-12-16 | |
| 2016-11-23 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,713 167,511 owned after | $1.75 | 2016-11-23 | |
| 2016-11-22 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,279 182,224 owned after | $1.75 | 2016-11-23 | |
| 2016-11-21 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,798 190,503 owned after | $1.75 | 2016-11-22 | |
| 2016-11-18 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,700 192,301 owned after | $1.75 | 2016-11-22 | |
| 2016-10-19 | Tezanos Matias de Director, Officer (Chief Strategy Officer), 10% Owner | 4 | Employee Stock Option (Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $16.82 exercise price | 2016-10-21 | |
| 2016-10-19 | Vargas Jose J. Director, Officer (Chief Revenue Officer), 10% Owner | 4 | Employee Stock Option (Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $16.82 exercise price | 2016-10-21 | |
| 2016-09-21 | BOREN KIMBERLY Officer (EVP, CHIEF FINANCIAL OFFICER) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 12,000 owned after | $16.82 exercise price | 2016-09-22 | |
| 2016-07-15 | SKOCILIC JOHN J JR Officer (EVP, TECHNOLOGY) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $14.41 exercise price | 2016-07-19 | |
| 2016-07-15 | FERRIOLO WILLIAM Officer (EVP, CHIEF BUSINESS OFFICER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $14.41 exercise price | 2016-07-19 | |
| 2016-07-15 | STEERMAN JOHN Officer (EVP MOBILE LEAD OPS PROD DEV) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $14.41 exercise price | 2016-07-19 | |
| 2016-07-15 | Fuller Glenn Evan Officer (EVP, CLO, CAO, SECRETARY) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $14.41 exercise price | 2016-07-19 | |
| 2016-07-15 | BOREN KIMBERLY 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) | +30,000 30,000 owned after | $14.41 exercise price | 2016-07-19 | |
| 2016-06-20 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $17.09 exercise price | 2016-06-21 | |
| 2016-06-20 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 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 | $17.09 exercise price | 2016-06-21 | |
| 2016-06-20 | Stibel Jeffrey M Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $14.07 exercise price | 2016-06-21 | |
| 2016-06-20 | MYLOD ROBERT J JR Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $14.07 exercise price | 2016-06-21 | |
| 2016-06-20 | CARPENTER MICHAEL A Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $14.07 exercise price | 2016-06-21 | |
| 2016-06-20 | KAPLAN MARK N Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $14.07 exercise price | 2016-06-21 | |
| 2016-06-20 | FUCHS MICHAEL J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $14.07 exercise price | 2016-06-21 | |
| 2016-06-20 | Thompson Janet M Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $14.07 exercise price | 2016-06-21 | |
| 2016-04-18 | MYLOD ROBERT J JR Director | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,750 1,750 owned after | $17.95 exercise price | 2016-04-19 | |
| 2016-03-15 | Ozima Wesley Officer (VP AND CONTROLLER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $14.95 | 2016-03-17 | |
| 2016-01-21 | DUPREE PHILLIP W. Officer (EVP, PRESIDENT DEALER SERVICES) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | Ozima Wesley Officer (VP AND CONTROLLER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | 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) | +22,000 22,000 owned after | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | SKOCILIC JOHN J JR Officer (EVP, TECHNOLOGY) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | FERRIOLO WILLIAM Officer (EVP, CHIEF BUSINESS 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 | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | PERKINS H DONALD JR Officer (EVP, STRATEGIC AND BUS DEVELOP) | 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 | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | STEERMAN JOHN Officer (EVP MOBILE LEAD OPS PROD DEV) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | BOREN KIMBERLY 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) | +22,000 22,000 owned after | $17.09 exercise price | 2016-01-22 | |
| 2016-01-21 | Vicidomino John A. Officer (EVP, MARKETING) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $17.09 exercise price | 2016-01-22 |