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