0001144204-14-074460.txt : 20141217
0001144204-14-074460.hdr.sgml : 20141217
20141217160815
ACCESSION NUMBER: 0001144204-14-074460
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141215
FILED AS OF DATE: 20141217
DATE AS OF CHANGE: 20141217
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: DATAWATCH CORP
CENTRAL INDEX KEY: 0000792130
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 020405716
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 271 MILL ROAD
STREET 2: QUORUM OFFICE PARK
CITY: CHELMSFORD
STATE: MA
ZIP: 01824
BUSINESS PHONE: 978-441-2200
MAIL ADDRESS:
STREET 1: 271 MILL ROAD
STREET 2: QUORUM OFFICE PARK
CITY: CHELMSFORD
STATE: MA
ZIP: 01824
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mistry Sanjay K
CENTRAL INDEX KEY: 0001590079
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19960
FILM NUMBER: 141292591
MAIL ADDRESS:
STREET 1: C/O DATAWATCH CORPORATION
STREET 2: QUORUM OFFICE PARK, 271 MILL ROAD
CITY: CHELMSFORD
STATE: MA
ZIP: 01824
4
1
v396893_4.xml
OWNERSHIP DOCUMENT
X0306
4
2014-12-15
0
0000792130
DATAWATCH CORP
DWCH
0001590079
Mistry Sanjay K
C/O DATAWATCH CORPORATION
271 MILL ROAD, QUORUM OFFICE PARK
CHELMSFORD
MA
01824
0
1
0
0
Vice President, Controller
Common Stock
2014-12-15
4
F
0
1333
8.59
D
24700
D
Common Stock
2014-12-15
4
P
0
10000
8.47
A
34700
D
This transaction was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person in order to cover taxes due in connection with the vesting of restricted stock units.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.52 to $8.70. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
The reporting person's purchase of Issuer's common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 1,333 shares, with the reporting person's sale of 1,333 shares of DWCH common stock, also on December 15, 2014 and reported herein. The reporting person attempted to set a minimum price limit on the purchase order to prevent the realization of a short swing profit from the matching transaction, but was unsuccessful in setting the limit and a short swing profit of $198.35 was realized. The reporting person has agreed in writing with the Issuer to pay to the Issuer $198.35, representing the full amount of the profit realized from the matching transactions, and has made such payment prior to the filing of this Form.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.43 to $8.50. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within this range.
/s/ William B. Asher, Jr. as attorney-in-fact for Reporting Person
2014-12-17