0001144204-17-039331.txt : 20170731 0001144204-17-039331.hdr.sgml : 20170731 20170731170027 ACCESSION NUMBER: 0001144204-17-039331 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170727 FILED AS OF DATE: 20170731 DATE AS OF CHANGE: 20170731 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: 17993624 MAIL ADDRESS: STREET 1: 40 EAST 94TH STREET CITY: NEW YORK STATE: NY ZIP: 10128 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 4 1 v471800_4.xml OWNERSHIP DOCUMENT X0306 4 2017-07-27 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 2017-07-27 4 M 0 25000 4.97 A 396502 D Common Stock 2017-07-27 4 S 0 18000 10.81 D 378502 D Common Stock 3000 I Spouse Stock Option (Right to Buy) 4.97 2017-07-27 4 M 0 25000 0 D 2018-04-25 Common Stock 25000 25000 D 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. The purpose of this sale was to cover the cost of: (i) the aggregate exercise price payable by the reporting person and (ii) income taxes liabilities of the reporting person upon the exercise of stock options reported in the row immediately above for the same date. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.80 to $10.90. 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. 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. The stock option, representing a right to purchase a total of 50,000 shares of Common Stock of the Issuer, became fully exercisable on April 26, 2014. /s/ Robert V. Jahrling, as attorney-in-fact 2017-07-31