0001144204-16-131418.txt : 20161103 0001144204-16-131418.hdr.sgml : 20161103 20161103164526 ACCESSION NUMBER: 0001144204-16-131418 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161101 FILED AS OF DATE: 20161103 DATE AS OF CHANGE: 20161103 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: 4 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 978-441-2200 MAIL ADDRESS: STREET 1: 4 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 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: 161972320 MAIL ADDRESS: STREET 1: C/O DATAWATCH CORPORATION STREET 2: 4 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 4 1 v452074_4.xml OWNERSHIP DOCUMENT X0306 4 2016-11-01 0 0000792130 DATAWATCH CORP DWCH 0001590079 Mistry Sanjay K C/O DATAWATCH CORPORATION 4 CROSBY DRIVE BEDFORD MA 01730 0 1 0 0 Vice President, Controller Common Stock 2016-11-01 4 A 0 5000 0 A 144367 D Common Stock 60 I By Daughter Common Stock 45 I By Son Common Stock 33 I By Son The securities awarded on 11/1/2016 are in the form of restricted stock units (RSUs) issued pursuant to the issuer's Second Amended and Restated 2011 Equity Compensation and Incentive Plan. 1,666 RSUs will vest on 11/15/2017 and an additional 1,667 RSUs will vest at 11/15/2018, with the final 1,667 RSUs vesting on 11/15/2019. This vesting schedule is subject to acceleration in certain instances in connection with an acquisition or other change of control event. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. By: /s/ Robert V. Jahrling, as attorney-in-fact 2016-11-03