AutoWeb, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-11: Reporting owner BOREN KIMBERLY; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-30: Reporting owner COATS JEFFREY H; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-21: Reporting owner FERRIOLO WILLIAM; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-23: Reporting owner KAPLAN MARK N; Form 4; Security Stock Options (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 |
|---|---|---|---|---|---|---|---|---|
| 2017-12-11 | BOREN KIMBERLY Officer (EVP, CHIEF FINANCIAL OFFICER) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $4.30 exercise price | 2017-12-11 | |
| 2017-11-30 | COATS JEFFREY H Director, Officer (PRESIDENT AND CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,196 0 owned after | $4.80 exercise price | 2017-12-01 | |
| 2017-11-21 | FERRIOLO WILLIAM Officer (EVP, CHIEF OPERATING OFFICER) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,134 0 owned after | $4.80 exercise price | 2017-11-21 | |
| 2017-06-23 | KAPLAN MARK N Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,000 0 owned after | $5.90 | 2017-06-26 | |
| 2017-06-23 | FUCHS MICHAEL J Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,000 0 owned after | $5.90 | 2017-06-26 | |
| 2017-06-22 | 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 | $13.06 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $13.06 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $13.06 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $13.06 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $13.06 exercise price | 2017-06-26 | |
| 2017-06-02 | SKOCILIC JOHN J JR Officer (EVP, CHIEF INFORMATION OFFICER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,774 0 owned after | $4.80 | 2017-06-02 | |
| 2017-06-01 | STEERMAN JOHN Officer (EVP, MOBILE LEAD OPS PROD DEV) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,597 0 owned after | $4.80 | 2017-06-01 | |
| 2017-05-24 | Ozima Wesley Officer (SVP, CONTROLLER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 2,260 owned after | $4.80 | 2017-05-26 | |
| 2017-05-23 | Thompson Janet M Director | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $5.90 | 2017-05-24 | |
| 2017-05-22 | FERRIOLO WILLIAM Officer (EVP, CHIEF OPERATING OFFICER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,512 0 owned after | $4.20 | 2017-05-22 | |
| 2017-05-19 | Stibel Jeffrey M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $11.60 | 2017-05-19 | |
| 2017-05-19 | Stibel Jeffrey M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $5.90 | 2017-05-19 | |
| 2017-05-16 | FERRIOLO WILLIAM Officer (EVP, CHIEF OPERATING OFFICER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,488 36,512 owned after | $4.20 | 2017-05-17 | |
| 2017-05-16 | Fuller Glenn Evan Officer (EVP, CLO, CAO, SECRETARY) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,907 0 owned after | $4.80 | 2017-05-16 | |
| 2017-01-26 | 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) | +25,000 25,000 owned after | $13.81 exercise price | 2017-01-27 | |
| 2017-01-26 | SKOCILIC JOHN J JR Officer (EVP, CHIEF INFORMATION OFFICER) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $13.81 exercise price | 2017-01-27 | |
| 2017-01-26 | BOREN KIMBERLY Officer (EVP, CHIEF FINANCIAL OFFICER) | 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 | $13.81 exercise price | 2017-01-27 | |
| 2017-01-26 | 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) | +25,000 25,000 owned after | $13.81 exercise price | 2017-01-27 | |
| 2017-01-26 | Ozima Wesley Officer (SVP, CONTROLLER) | 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 | $13.81 exercise price | 2017-01-27 |