FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/22/2013 |
3. Issuer Name and Ticker or Trading Symbol
CHANNELADVISOR CORP [ ECOM ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 26,218 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (1) | 07/01/2014 | Common Stock | 7,812(2) | $1.6(2) | D | |
Employee Stock Option (right to buy) | (3) | 03/20/2019 | Common Stock | 31,250(2) | $1.6(2) | D | |
Employee Stock Option (right to buy) | (4) | 07/27/2015 | Common Stock | 9,375(2) | $2.24(2) | D | |
Employee Stock Option (right to buy) | (5) | 08/29/2021 | Common Stock | 12,500(2) | $2.24(2) | D | |
Employee Stock Option (right to buy) | (6) | 03/03/2018 | Common Stock | 6,250(2) | $2.24(2) | D | |
Employee Stock Option (right to buy) | (7) | 03/01/2020 | Common Stock | 19,187(2) | $2.24(2) | D | |
Employee Stock Option (right to buy) | (8) | 12/22/2016 | Common Stock | 7,500(2) | $2.24(2) | D | |
Employee Stock Option (right to buy) | (9) | 06/19/2022 | Common Stock | 6,250(2) | $6.88(2) | D | |
Employee Stock Option (right to buy) | (10) | 10/18/2022 | Common Stock | 1,250(2) | $8.64(2) | D | |
Employee Stock Option (right to buy) | (11) | 10/18/2022 | Common Stock | 12,500(2) | $8.64(2) | D | |
Employee Stock Option (right to buy) | (12) | 03/08/2023 | Common Stock | 12,500(2) | $8.8(2) | D |
Explanation of Responses: |
1. This option vested in 16 equal quarterly installments, beginning on October 1, 2004 and continuing through July 1, 2008. |
2. The number of underlying shares of common stock and the exercise price reported reflect a 1-for-16 reverse stock split of the issuer's common stock effected on May 9, 2013. |
3. This option vested in 16 equal quarterly installments, beginning on June 1, 2009 and continuing through March 1, 2013. |
4. This option vested in 16 equal quarterly installments, beginning on October 27, 2005 and continuing through July 27, 2009. |
5. One-fourth of the shares underlying this option vested on January 1, 2012, and the remainder vests in 12 equal quarterly installments through January 1, 2015, subject to the reporting person's continued service with the issuer as of the applicable vesting date. |
6. This option vested in 16 equal quarterly installments, beginning on June 1 2008 and continuing through March 1, 2012. |
7. This option vests in 16 equal quarterly installments, beginning on June 1, 2010 and continuing through March 1, 2014, subject to the reporting person's continued service with the issuer as of the applicable vesting date. |
8. This option vested in 16 equal quarterly installments, beginning on April 1, 2007 and continuing through July 1, 2010. |
9. This option was fully vested as of March 18, 2012. |
10. This option was fully vested as of July 1, 2012. |
11. This option vests in 16 equal quarterly installments, beginning on April 1, 2012 and continuing through January 1, 2016, subject to the reporting person's continued service with the issuer as of the applicable vesting date. |
12. This option vests in 16 equal quarterly installments, beginning on April 1, 2013 and continuing through March 1, 2017, subject to the reporting person's continued service with the issuer as of the applicable vesting date. |
Remarks: |
Exhibit List Exhibit 24.1 Power of Attorney |
/s/ Brian F. Leaf, Attorney-in-fact | 05/22/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |