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