0001144204-18-008031.txt : 20180213
0001144204-18-008031.hdr.sgml : 20180213
20180213171642
ACCESSION NUMBER: 0001144204-18-008031
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180209
FILED AS OF DATE: 20180213
DATE AS OF CHANGE: 20180213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Morrison Michael Anthony
CENTRAL INDEX KEY: 0001296592
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-19960
FILM NUMBER: 18604857
MAIL ADDRESS:
STREET 1: 7 OVERLOOK DRIVE
CITY: GROTON
STATE: MA
ZIP: 01450
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
tv485929_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-02-09
0
0000792130
DATAWATCH CORP
DWCH
0001296592
Morrison Michael Anthony
C/O DATAWATCH CORPORATION
4 CROSBY DRIVE
BEDFORD
MA
01730
1
1
0
0
President & CEO
Common Stock
2018-02-09
4
F
0
3386
10.43
D
232189
D
Common Stock
2018-02-09
4
M
0
100000
3.46
A
332189
D
Common Stock
2018-02-12
4
F
0
927
10.20
D
331262
D
Common Stock
2018-02-12
4
S
0
21631
10.16
D
309631
D
Common Stock
2018-02-13
4
S
0
14056
10.03
D
295575
D
Common Stock
119463
I
Trustee
Common Stock
5985
I
Spouse
Stock Option (Right to Buy)
3.46
2018-02-09
4
M
0
100000
0
D
2018-02-10
Common Stock
100000
0
D
The purpose of this sale is to pay for tax liabilities incurred by Mr. Morrison upon the vesting of certain restricted stock units.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.40 to $10.45. 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.
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 this Form 4 in a row dated 2/9/2018.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.15 to $10.20. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.05. 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 Merrill Lynch, Trustee f/b/o Michael Morrison Roth IRA.
These shares are owned by Mr. Morrison's wife as custodian for two UTMA accounts. 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.
This amount includes 192 shares owned by Mr. Morrison's children held in UTMA accounts which were previously reported as separate holdings.
The stock option, representing a right to purchase a total of 100,000 shares of Common Stock of the Issuer, became fully exercisable on February 11, 2014.
/s/ Robert V. Jahrling, Signature of Robert V. Jahrling as attorney-in-fact for
2018-02-13