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) 04/24/2013 |
3. Issuer Name and Ticker or Trading Symbol
AUTOBYTEL INC [ ABTL ] |
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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 | 6,309 | 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) | 02/27/2014 | Common Stock | 2,400 | $69.5 | D | |
Employee Stock Option (Right to Buy) | (2) | 04/09/2014 | Common Stock | 1,000 | $71.45 | D | |
Employee Stock Option (Right to Buy) | (3) | 08/14/2016 | Common Stock | 1,500 | $14.95 | D | |
Employee Stock Options (Right to Buy) | (4) | 09/29/2018 | Common Stock | 5,000 | $5.3 | D | |
Employee Stock Option (Right to Buy) | (5) | 03/03/2019 | Common Stock | 7,500 | $1.75 | D | |
Employee Stock Option (Right to Buy) | (6) | 09/22/2019 | Common Stock | 7,500 | $3.1 | D | |
Employee Stock Option (Right to Buy) | (7) | 05/13/2020 | Common Stock | 7,000 | $5.45 | D | |
Employee Stock Option (Right to Buy) | (8) | 01/20/2018 | Common Stock | 7,980 | $4.8 | D | |
Employee Stock Option (Right to Buy) | (9) | 07/19/2018 | Common Stock | 3,000 | $5.5 | D | |
Employee Stock Option (Right to Buy) | (10) | 12/07/2018 | Common Stock | 1,000 | $3.8 | D | |
Employee Stock Option (Right to Buy) | (11) | 01/10/2019 | Common Stock | 7,404 | $3.9 | D | |
Employee Stock Option (Right to Buy) | (12) | 01/24/2020 | Common Stock | 4,047 | $4 | D | |
Employee Stock Option (Right to Buy) | (13) | 04/24/2020 | Common Stock | 5,000 | $4.19 | D |
Explanation of Responses: |
1. Grant on 2/27/2004 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. All of these options are fully vested and exercisable. |
2. Grant on 4/9/2004 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. All of these options are fully vested and exercisable. |
3. Grant on 8/14/2006 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. All of these options are fully vested and exercisable. |
4. Grant on 9/29/2008 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. All of these options are fully vested and exercisable. |
5. Grant on 3/3/2009 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. All of these options are fully vested and exercisable. |
6. Grant on 9/22/2009 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. All of these options are fully vested and exercisable. |
7. Grant on 5/13/2010 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. 33 1/3% vest and become exercisable on 1st anniversary of grant date, and 1/36 vest and become exercisable at the end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
8. Grant on 1/20/2011 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. Options have two vesting criteria: (i) percentage achievement of Company performance goals based on 2011 revenues and EBITDA; and (ii) subject to achievement of Company performance goals, time-based vesting, with 1/3 of options vesting on 1st anniversary of grant date and 1/36 of options vesting at end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
9. Grant on 7/19/2011 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. 33 1/3% vest and become exercisable on 1st anniversary of grant date, and 1/36 vest and become exercisable at end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
10. Grant on 12/7/2011 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. 33 1/3% vest and become exercisable on 1st anniversary of grant date, and 1/36 vest and become exercisable at end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
11. Grant on 1/10/2012 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. Options have two vesting criteria: (i) percentage achievement of Company performance goals based on 2012 revenues and EBITDA; and (ii) subject to achievement of Company performance goals, time-based vesting, with 1/3 of options vesting on 1st anniversary of grant date and 1/36 of options vesting at the end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
12. Grant on 1/24/2013 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. Options have two vesting criteria: (i) percentage achievement of Company performance goals based on 2013 revenues and EBITDA; and (ii) subject to achievement of Company performance goals, time-based vesting, with 1/3 of options vesting on 1st anniversary of grant date and 1/36 of options vesting at the end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
13. Grant on 4/24/2013 to Reporting Person of options to buy shares of common stock in transaction exempt under Rule 16b-3. 33 1/3% vest and become exercisable on 1st anniversary of grant date, and 1/36 vest and become exercisable at end of each successive monthly anniversary thereafter for the following 24 months ending on 3rd anniversary of grant date. |
Remarks: |
/s/ Glenn E. Fuller as Attorney-in-Fact for Reporting Person | 04/26/2013 | |
** 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. |