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