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