0001144204-18-021391.txt : 20180419
0001144204-18-021391.hdr.sgml : 20180419
20180419170306
ACCESSION NUMBER: 0001144204-18-021391
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180417
FILED AS OF DATE: 20180419
DATE AS OF CHANGE: 20180419
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cox Christopher T
CENTRAL INDEX KEY: 0001557341
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19960
FILM NUMBER: 18764418
MAIL ADDRESS:
STREET 1: CADWALADER, WICKERSHAM & TAFT LLP
STREET 2: ONE WORLD FINANCIAL CENTER
CITY: NEW YORK
STATE: NY
ZIP: 10281
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
tv491406_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-04-17
0
0000792130
DATAWATCH CORP
DWCH
0001557341
Cox Christopher T
C/O DATAWATCH CORPORATION
4 CROSBY DRIVE
BEDFORD
MA
01730
1
0
0
0
Common Stock
2018-04-17
4
A
0
7000
0
A
45228
D
Common Stock
670966
I
See footnote
Common Stock
35000
I
See footnote
The securities awarded on 4/17/2018 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 5/1/2019 and an additional 2,333 RSUs will vest on 5/1/2020, with the final 2,334 RSUs vesting on 5/1/2021. This vesting schedule is subject to acceleration in certain instances in connection with an acquisition or other change of control event.
Includes 670,966 shares held by WC Capital, LLC. Mr. Cox, as an investor in and Managing Member of WC Capital, LLC, shares the power to vote and dispose of all 670,966 shares of the Common Stock of the Company held by WC Capital, LLC.
Mr. Cox's spouse is a trustee and a beneficiary of the trust that holds these securities. Mr. Cox is neither a trustee nor a beneficiary of the trust. Mr. Cox disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that Mr. Cox is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.
/s/ Robert V. Jahrling, as attorney-in-fact
2018-04-19