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