Statement of Changes in Beneficial Ownership (4)
December 05 2016 - 6:46PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
G2 INVESTMENT PARTNERS QP LP
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2. Issuer Name
and
Ticker or Trading Symbol
DATAWATCH CORP
[
DWCH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
ONE ROCKEFELLER PLAZA, 23RD FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/30/2016
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(Street)
NEW YORK, NY 10020
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/30/2016
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11/30/2016
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S
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1113
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D
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$6.40
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1531304
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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P
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13254
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A
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$6.35
(2)
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1544558
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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S
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43941
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D
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$6.29
(3)
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1500617
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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P
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86
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A
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$6.30
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1500703
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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S
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31107
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D
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$6.17
(4)
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1469596
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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P
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21395
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A
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$6.19
(5)
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1490991
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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S
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18104
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D
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$6.02
(6)
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1472887
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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P
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42876
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A
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$6.03
(7)
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1515762
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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S
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8986
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D
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$6.10
(8)
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1506776
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D
(1)
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Common Stock
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11/30/2016
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11/30/2016
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P
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540
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A
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$6.02
(9)
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1507316
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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These securities are directly owned by G2 Investment Partners QP LP (the "Reporting Person"). These transactions were previously reported on the Form 4 filed by G2 Investment Partners Management LLC, G2 Investment Partners GP LLC and Josh Goldberg on December 2, 2016.
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(
2)
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The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Person. The actual prices of such purchases ranged from $6.35 to $6.40 The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
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(
3)
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The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Person. The actual prices of such sales ranged from $6.25 to $6.35. The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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(
4)
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The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Person. The actual prices of such sales ranged from $6.15 to $6.20. The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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(
5)
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The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Person. The actual prices of such purchases ranged from $6.15 to $6.20 The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
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(
6)
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The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Person. The actual prices of such sales ranged from $6.00 to $6.08. The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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(
7)
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The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Person. The actual prices of such purchases ranged from $6.00 to $6.05 The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
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(
8)
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The reported price is the weighted average sale price for sales on November 30, 2016 by the Reporting Person. The actual prices of such sales ranged from $6.10 to $6.13. The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
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(
9)
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The reported price is the weighted average purchase price for purchases on November 30, 2016 by the Reporting Person. The actual prices of such purchases ranged from $6.00 to $6.10 The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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G2 INVESTMENT PARTNERS QP LP
ONE ROCKEFELLER PLAZA, 23RD FLOOR
NEW YORK, NY 10020
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X
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Signatures
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G2 Investment Partners QP LP By: G2 Investment Partners GP LLC By: Josh Goldberg, Managing Member /s/ Josh Goldberg
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12/5/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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