0001144204-17-021286.txt : 20170420
0001144204-17-021286.hdr.sgml : 20170420
20170420164051
ACCESSION NUMBER: 0001144204-17-021286
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170418
FILED AS OF DATE: 20170420
DATE AS OF CHANGE: 20170420
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: 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: 17773386
MAIL ADDRESS:
STREET 1: 40 EAST 94TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10128
4
1
v464659_4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-04-18
0
0000792130
DATAWATCH CORP
DWCH
0001024388
OSBORNE RICHARD DE J
C/O DATAWATCH CORPORATION
4 CROSBY DRIVE
BEDFORD
MA
01730
1
0
0
0
Common Stock
2017-04-18
4
A
0
7000
0
A
355502
D
Common Stock
3000
I
Spouse
The securities awarded on 4/18/2017 are in the form of restricted stock units (RSUs) issued pursuant to the Datawatch Third Amended and Restated 2011 Equity Compensation and Incentive Plan. 2,333 RSUs will vest on 5/1/2018 and an additional 2,333 RSUs will vest on 5/1/2019, with the final 2,334 RSUs vesting on 5/1/2020. 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.
These shares are owned by Mr. Osborne's wife. The reporting person acquired beneficial ownership of these shares upon his marriage to the owner of the shares on November 22, 2014. 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.
/s/ Robert V. Jahrling, as attorney-in-fact
2017-04-20