-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P2vAolELMFM4O2jVaaJhXv6RbB9qeP8EVfeYrYATX3rXtSB/wgGMApaxOpA/HM8C E6dmUhctP/tO+waWseYZKA== 0000912057-02-037673.txt : 20021004 0000912057-02-037673.hdr.sgml : 20021004 20021003194524 ACCESSION NUMBER: 0000912057-02-037673 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021002 FILED AS OF DATE: 20021004 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EVOLVING SYSTEMS INC CENTRAL INDEX KEY: 0001052054 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 841010843 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-24081 FILM NUMBER: 02781469 BUSINESS ADDRESS: STREET 1: 9777 MT PYRAMID COURT CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 3038021000 MAIL ADDRESS: STREET 1: 9777 MT PYRAMID COURT CITY: ENGLEWOOD STATE: CO ZIP: 80112 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: FURLONG PATRICK SHANE CENTRAL INDEX KEY: 0001134447 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O EVOLVING SYSTEMS INC STREET 2: 9777 MT PYRAMID COURT CITY: ENGELEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 3038021000 MAIL ADDRESS: STREET 1: 9777 MT PYRAMID COURT CITY: ENGLEWOOD STATE: CO ZIP: 80112 4 1 a2090608z4.txt 4
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- / / CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO EXPIRES: JANUARY 31, 2005 SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 0.5 CONTINUE. SEE Section 30(h) of the Investment Company Act of 1940 ----------------------------- INSTRUCTION 1(b). (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner Furlong, Patrick Shane Evolving Systems, Inc. (EVOL) ---- ---- - --------------------------------------------------------------------------------------------- X Officer (give Other (Last) (First) (Middle) 3. I.R.S. Identification 4. Statement for ---- title ---- (specify Number of Reporting Month/Day/Year below) below Person, if an entity Vice President, Principal - (voluntary) Consulting Practice 9777 Mt. Pyramid Court October 2, 2002 ----------------- ------------------ - -------------------------------------------- --------------------- 7. Individual or Joint/Group Filing (Street) 5. If Amendment, (Check Applicable Line) Date of Original _X_Form filed by One Reporting Person (Month/Day/Year) ___Form filed by More than One Englewood, CO 80112 Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Trans- 2A. Deemed 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature Security action Execution action or Disposed of (D) Securities ship of In- (Instr. 3) Date Date, Code (Instr. 3, 4 and 5) Beneficially Form: direct if any (Instr. 8) Owned Follow- Direct Bene- (Month/ (Month/ ing Reported (D) or ficial Day/ Day/ ------------------------------------------ Transaction(s) Indirect Owner- Year) Year) (A) or (Instr. 3 (I) ship Code V Amount (D) Price and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative Security 2. Conver- 3. Trans- 3A. Deemed 4. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action Execution tion Code ative Securities Ac- cisable and Ex- Exercise Date Date, (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ if any posed of (D) (Month/Day/ Deriv- Day/ (Month/ (Instr. 3, 4, and 5) Year) ative Year) Day/ Security Year) -------------------------------------- ---------------- Date Expira- Exer- tion Code V (A) (D) cisable Date - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $2.75 10/2/02 D 875 (1) 4/7/08 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $2.44 10/2/02 D 4,375 (2) 12/3/08 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $4.19 10/2/02 D 8,250 (3) 5/17/09 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $5.85 10/2/02 D 9,375 (4) 10/26/09 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $9.38 10/2/02 D 10,000 (5) 3/14/10 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $3.75 10/2/02 D 3,282 (6) 5/30/10 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $5.25 10/2/02 D 10,000 (7) 7/27/10 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $5.04 10/2/02 D 23,490 (8) 8/6/10 - ----------------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock Option $5.04 10/2/02 D 1,510 (9) 8/6/10 - ----------------------------------------------------------------------------------------------------------------------------------- Incentive Stock Option $2.19 10/2/02 D 14,512 (10) 1/2/11 - ----------------------------------------------------------------------------------------------------------------------------------- Non-Qualified Stock Option $2.19 10/2/02 D 20,488 (11) 1/2/11 - ----------------------------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------- 7. Title and Amount of 8. Price of 9. Number of 10. Ownership 11. Nature of Underlying Securities Derivative Derivative Form of Indirect (Instr. 3 and 4) Security Securities Derivative Beneficial (Instr. 5) Beneficially Securities: Ownership Owned Direct (D) or (Instr. 4) Following Indirect (I) Reported (Instr. 4) Transaction(s) ----------------------- (Instr. 4) Title Amount or Number of Shares - ----------------------------------------------------------------------------------------------- Common Stock 875 (1) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 4,375 (2) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 8,250 (3) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 9,375 (4) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 10,000 (5) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 3,282 (6) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 10,000 (7) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 23,490 (8) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 1,510 (9) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 14,512 (10) 0 D - ----------------------------------------------------------------------------------------------- Common Stock 20,488 (11) 0 D - ----------------------------------------------------------------------------------------------- Explanation of Responses: Furlong, Patrick Shane Evolving Systems, Inc. October 2, 2002 9777 Mt. Pyramid Court Englewood, CO 80112 (1) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on September 25, 1998. The option grant provided for vesting as follows: 500 shares to vest on April 8, 1999; the remaining 1,500 to vest quarterly in 12 quarterly installments beginning July 8, 1999. (2) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on December 4, 1998. The option grant provided for vesting as follows: 100% of the shares to vest in 16 quarterly installments beginning March 4, 1999. (3) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on May 18, 1999. The option grant provided for vesting as follows: 100% of the shares to vest in 16 quarterly installments beginning August 18, 1999. (4) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on October 27, 1999. The option grant provided for vesting as follows: 100% of the shares to vest in 16 quarterly installments beginning January 27, 2000. (5) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on March 15, 2000. The option grant provided for vesting as follows: 100% of the shares to vest in 16 quarterly installments beginning June 15, 2000. (6) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on May 31, 2000. The option grant provided for vesting as follows: 100% of the shares to vest in 16 quarterly installments beginning August 31, 2000. (7) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on July 28, 2000. The option grant provided for vesting as follows: 100% of the shares to vest in 16 quarterly installments beginning October 28, 2000. (8) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on August 7, 2000. The option grant provided for vesting as follows: 1,562 shares vest on November 7, 2000; 5,419 shares vest in four quarterly installments beginning February 7, 2001; 5,571 shares vest in four quarterly installments beginning February 7, 2002; 10,938 shares vest in seven quarterly installments beginning February 7, 2003. (9) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on August 7, 2000. The option grant provided for vesting as follows: 831 shares vest in four quarterly installments beginning February 7, 2001; 679 shares vest in four quarterly installments beginning February 7, 2002. (10) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on January 3, 2001. The option grant provided for vesting as follows: 3,574 shares vest in four quarterly installments beginning January 3, 2003; 8,750 shares vest in four quarterly installments beginning January 3, 2004; 2,188 shares vest on January 3, 2005. (11) The reporting person tendered to the issuer, for cancellation, an option granted to the reporting person on January 3, 2001. The option grant provided for vesting as follows: 6,562 shares vest in three quarterly installments beginning April 3, 2001; 8,750 shares vest in four quarterly installments beginning January 3, 2002; 5,176 share vest in four quarterly installments beginning January 3, 2003. 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 4(b)(v). /s/ Anita T. Moseley Attorney-In-Fact 10/3/02 ----------------------------------- ----------- **Intentional misstatements or omissions of facts constitute **Signature of Reporting Person Date Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). for Patrick Shane Furlong Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. HTTP://WWW.SEC.GOV/DIVISION/CORPFIN/FORMS/FORM.HTM LAST UPDATE: 09/05/2002
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