0001144204-15-024409.txt : 20150422 0001144204-15-024409.hdr.sgml : 20150422 20150422191501 ACCESSION NUMBER: 0001144204-15-024409 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150420 FILED AS OF DATE: 20150422 DATE AS OF CHANGE: 20150422 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: OSBORNE RICHARD DE J CENTRAL INDEX KEY: 0001024388 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19960 FILM NUMBER: 15786638 MAIL ADDRESS: STREET 1: 40 EAST 94TH STREET CITY: NEW YORK STATE: NY ZIP: 10128 4 1 v408039_4.xml OWNERSHIP DOCUMENT X0306 4 2015-04-20 0 0000792130 DATAWATCH CORP DWCH 0001024388 OSBORNE RICHARD DE J C/O DATAWATCH CORPORATION 271 MILL ROAD, QUORUM OFFICE PARK CHELMSFORD MA 01824 1 0 0 0 Common Stock 2015-04-20 4 A 0 2500 0 A 346002 D The securities awarded on 4/20/2015 are in the form of restricted stock units (RSUs) issued pursuant to the Datawatch Second Amended and Restated 2011 Equity Compensation and Incentive Plan. 833 RSUs will vest on 5/1/2016 and an additional 833 RSUs will vest at 5/1/2017, with the final 834 RSUs vesting on 5/1/2018. This vesting schedule is subject to acceleration in certain instances in connection with an acquisition or other change of control event. Includes 143,370 shares held by Carnegie Hill Associates, LLC. Mr. Osborne is the Managing Principal of Carnegie Hill Associates, LLC and may be deemed a beneficial owner of the shares held by Carnegie Hill Associates, LLC. Mr. Osborne disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein /s/ William B. Asher, Jr. as attorney-in-fact for Reporting Person 2015-04-22