AutoWeb, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows, 39 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 Common Stock); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-22: Reporting owner Vargas Jose J.; Form 4; Security Warrant (right to buy Common Stock); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-22: Reporting owner Vargas Jose J.; Form 4; Security Warrant (right to buy Common Stock); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-22: Reporting owner Tezanos Matias de; Form 4; Security Warrant (right to buy Common Stock); 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-06-22 | Ceiba International Corp 10% Owner | 4 | Warrant (Right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +227,970 0 owned after | $1.72 | 2018-04-26 | |
| 2017-06-22 | Vargas Jose J. Director, Officer (CHIEF REVENUE OFFICER), 10% Owner | 4 | Warrant (right to buy Common Stock) Derivative · Indirect · Held by Galeb3, Inc. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +194,930 0 owned after | $1.72 | 2017-11-13 | |
| 2017-06-22 | Vargas Jose J. Director, Officer (CHIEF REVENUE OFFICER), 10% Owner | 4 | Warrant (right to buy Common Stock) Derivative · Indirect · Held By People F, Inc. and PF Holdings, Inc. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,952 0 owned after | $1.72 | 2017-11-13 | |
| 2017-06-22 | Tezanos Matias de Director, 10% Owner | 4 | Warrant (right to buy Common Stock) Derivative · Indirect · Held by Manatee Ventures, Inc. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +390,770 0 owned after | $1.72 | 2017-11-13 | |
| 2017-06-22 | Tezanos Matias de Director, 10% Owner | 4 | Warrant (right to buy Common Stock) Derivative · Indirect · Held By People F, Inc. and PF Holdings, Inc. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,952 0 owned after | $1.72 | 2017-11-13 | |
| 2017-06-22 | FERRIOLO WILLIAM Officer (EVP, CHIEF OPERATING OFFICER) | 4 | Warrant (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,520 33,520 owned after | $1.72 | 2017-09-28 | |
| 2016-05-20 | PF Auto, Inc. 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −103,074 0 owned after | $17.15 | 2016-05-20 | |
| 2016-05-19 | Ceiba International Corp 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +14,262 22,797 owned after | $15.78 | 2016-05-23 | |
| 2016-05-19 | PF Auto, Inc. 10% Owner | 4 | Warrant Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −14,262 103,074 owned after | $15.78 | 2016-05-20 | |
| 2015-11-20 holding as of filing | Klose Margarita Rosales | Auto Holdings Ltd. | Klose Pieters Juan Christian 10% Owner | 10% Owner | 10% Owner | 3/A | Warrant to Purchase Common Stock Derivative · Direct | Holding | $4.65 exercise price | 2015-11-20 | ||
| 2015-11-20 holding as of filing | Vargas Jose J. | Investment & Development Finance Corp. | Galeb3 Inc | Aitkenhead Castillo Richard | Ceiba International Corp | Manatee Ventures Inc. | Klose de Ojeda John Peter | Tezanos Matias de | Auto Holdings Ltd. | IDC Financial S.A. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Warrant to Purchase Common Stock Derivative · Direct | Holding | $4.65 exercise price | 2015-11-20 | ||
| 2015-10-06 holding as of filing | MYLOD ROBERT J JR Director | 3 | Warrants to purchase Ser. B Jr. Particip. Conv. Pref. Stock Derivative · Direct | Holding | $184.47 exercise price | 2015-10-06 | ||
| 2015-10-01 | Vargas Jose J. | Galeb3 Inc Director, Officer (Chief Revenue Officer), 10% Owner | 10% Owner | 4/A | Warrant Derivative · Indirect · Held by PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +29,370 29,370 owned after | $17.15 | 2016-05-20 | |
| 2015-10-01 | Tezanos Matias de | Manatee Ventures Inc. Director, Officer (Chief Strategy Officer), 10% Owner | | 4/A | Warrant Derivative · Indirect · Held by PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +51,664 51,664 owned after | $17.15 | 2016-05-20 | |
| 2015-10-01 | Investment & Development Finance Corp. | Ceiba International Corp 10% Owner | 10% Owner | 4/A | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +8,535 8,535 owned after | $17.15 | 2015-11-20 | |
| 2015-10-01 | Klose de Ojeda John Peter 10% Owner | 4 | Warrants Derivative · Indirect · Held in the name of Ceiba International Corp. | J Other acquisition or disposition (describe transaction) | +8,535 8,535 owned after | $17.15 | 2015-10-13 | |
| 2015-10-01 | Klose de Ojeda John Peter 10% Owner | 4 | Warrants Derivative · Indirect · Held in the name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +1,975 10,510 owned after | $17.15 | 2015-10-13 | |
| 2015-10-01 | Aitkenhead Castillo Richard 10% Owner | 4 | Warrants Derivative · Indirect · Held in the name of Ceiba International Corp. | J Other acquisition or disposition (describe transaction) | +8,535 8,535 owned after | $17.15 | 2015-10-13 | |
| 2015-10-01 | Aitkenhead Castillo Richard 10% Owner | 4 | Warrants Derivative · Indirect · Held in the name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +1,975 10,510 owned after | $17.15 | 2015-10-13 | |
| 2015-10-01 | PF Auto, Inc. 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +117,336 117,336 owned after | $17.15 | 2015-10-13 | |
| 2015-10-01 | Galeb3 Inc | Vargas Jose Sr 10% Owner | Director, Officer (Chief Revenue Officer), 10% Owner | 4 | Warrants Derivative · Indirect · Held in name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +28,518 28,518 owned after | $17.15 | 2015-10-05 | |
| 2015-10-01 | Galeb3 Inc | Vargas Jose Sr 10% Owner | Director, Officer (Chief Revenue Officer), 10% Owner | 4 | Warrants Derivative · Indirect · Held in name of Galeb3, Inc. | J Other acquisition or disposition (describe transaction) | +682 29,200 owned after | $17.15 | 2015-10-05 | |
| 2015-10-01 | Tezanos Matias de | Manatee Ventures Inc. Director, Officer (Chief Strategy Officer), 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Held by PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +50,696 50,696 owned after | $17.15 | 2015-10-05 | |
| 2015-10-01 | Tezanos Matias de | Manatee Ventures Inc. Director, Officer (Chief Strategy Officer), 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Held by Manatee Ventures, Inc. | J Other acquisition or disposition (describe transaction) | +682 51,378 owned after | $17.15 | 2015-10-05 | |
| 2015-10-01 | Ceiba International Corp | International Development & Financial Corp. 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Held in name of PF Auto, Inc. | J Other acquisition or disposition (describe transaction) | +1,975 1,975 owned after | $17.15 | 2015-10-05 | |
| 2015-10-01 | International Development & Financial Corp. | Ceiba International Corp 10% Owner | 10% Owner | 4 | Warrants Derivative · Direct | J Other acquisition or disposition (describe transaction) | +8,535 8,535 owned after | $17.15 | 2015-10-05 | |
| 2015-05-04 holding as of filing | Aitkenhead Castillo Richard | Tezanos Matias de | Vargas Jose Sr | International Development & Financial Corp. | Klose de Ojeda John Peter | Auto Holdings Ltd. | Manatee Ventures Inc. | Ceiba International Corp | Galeb3 Inc 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $4.65 exercise price | 2015-05-04 | ||
| 2015-04-27 | Klose Margarita Rosales | Klose Pieters Juan Christian | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock issued on exercise of Warrant Non-derivative · Direct | C Conversion of derivative security | +400,000 500,877 owned after | $1,860,000.00 | 2015-11-20 | |
| 2015-04-27 | Klose Margarita Rosales | Klose Pieters Juan Christian | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 4/A | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −400,000 0 owned after | $4.65 exercise price | 2015-11-20 | |
| 2015-04-27 | IDC Financial S.A. | Manatee Ventures Inc. | Investment & Development Finance Corp. | Ceiba International Corp | Vargas Jose J. | Klose de Ojeda John Peter | Aitkenhead Castillo Richard | Galeb3 Inc | Auto Holdings Ltd. | Tezanos Matias de 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Common Stock issued on exercise of Warrant Non-derivative · Direct | C Conversion of derivative security | +400,000 500,877 owned after | $1,860,000.00 | 2015-11-20 | |
| 2015-04-27 | IDC Financial S.A. | Manatee Ventures Inc. | Investment & Development Finance Corp. | Ceiba International Corp | Vargas Jose J. | Klose de Ojeda John Peter | Aitkenhead Castillo Richard | Galeb3 Inc | Auto Holdings Ltd. | Tezanos Matias de 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −400,000 0 owned after | $4.65 exercise price | 2015-11-20 | |
| 2015-04-27 | Klose de Ojeda John Peter | Vargas Jose Sr | Tezanos Matias de | Ceiba International Corp | Aitkenhead Castillo Richard | International Development & Financial Corp. | Galeb3 Inc | Manatee Ventures Inc. | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock issued on exercise of Warrant Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +400,000 1,475,268 owned after | $1,860,000.00 | 2015-05-04 | |
| 2015-04-27 | Klose de Ojeda John Peter | Vargas Jose Sr | Tezanos Matias de | Ceiba International Corp | Aitkenhead Castillo Richard | International Development & Financial Corp. | Galeb3 Inc | Manatee Ventures Inc. | Auto Holdings Ltd. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −400,000 0 owned after | $4.65 exercise price | 2015-05-04 | |
| 2015-04-27 | IBBF Ventures, Inc. | Atrop, Inc. Other (Former 10% owner) | Other (Former 10% owner) | 4 | Warrant (Right to Purchase) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −400,000 0 owned after | $5.35 | 2015-04-29 | |
| 2015-04-27 | Bentley Ian 10% Owner | 4 | Warrant (Right to Purchase) Derivative · Indirect · Derivative Securities | S Open market or private sale of non-derivative or derivative security | −400,000 0 owned after | $5.35 | 2015-04-29 | |
| 2015-04-27 | FERRIOLO WILLIAM Officer (EVP Consumer Acquisitions) | 4 | Warrant (Right to Purchase) Derivative · Indirect · Derivative Securities | S Open market or private sale of non-derivative or derivative security | −400,000 0 owned after | $5.35 | 2015-04-29 | |
| 2013-08-12 holding as of filing | Bentley Ian 10% Owner | 3 | Warrant (Right to Purchase) Derivative · Indirect · (m) | Holding | $4.65 exercise price | 2013-08-12 | ||
| 2013-08-12 holding as of filing | Atrop, Inc. | IBBF Ventures, Inc. 10% Owner | 10% Owner | 3 | Warrant (Right to Purchase) Derivative · Direct | Holding | $4.65 exercise price | 2013-08-12 | ||
| 2011-12-12 holding as of filing | FERRIOLO WILLIAM Officer (SVP Consumer Acq & Product Dev) | 3 | Warrant (Right to Purchase) Derivative · Indirect · (m) | Holding | $0.93 exercise price | 2011-12-12 |