Initial Statement of Beneficial Ownership (3)
April 03 2014 - 7:22PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Laskey Alexander
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/3/2014
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3. Issuer Name
and
Ticker or Trading Symbol
OPOWER, INC. [OPWR]
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(Last)
(First)
(Middle)
C/O OPOWER, INC., 1515 NORTH COURTHOUSE ROAD, 8TH FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
President /
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(Street)
ARLINGTON, VA 22201
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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4649756
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D
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Common Stock
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1900000
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I
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By Laskey-A Investment Trust
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Common Stock
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33334
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I
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By Baruch Farbiarz and Elsa Farbiarz
(1)
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Common Stock
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33334
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I
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By Adam Farbiarz
(2)
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Common Stock
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50000
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I
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By Jacob Laskey
(3)
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Common Stock
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33334
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I
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By Michael Farbiarz and Megan Lewis
(4)
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Common Stock
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50000
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I
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By Richard Laskey and Abbie Laskey
(5)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Stock Option (right to buy)
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(6)
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8/26/2018
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Common Stock
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69250
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$7.22
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D
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Stock Option (right to buy)
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(6)
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8/26/2018
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Common Stock
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534664
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$6.56
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D
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Explanation of Responses:
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(
1)
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Baruch Farbiarz and Elsa Farbiarz, who have granted an irrevocable proxy to Mr. Laskey.
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(
2)
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Adam Farbiarz, who has granted an irrevocable proxy to Mr. Laskey.
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(
3)
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Jacob Laskey, who has granted an irrevocable proxy to Mr. Laskey.
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(
4)
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Michael Farbiarz and Megan Lewis, who have granted an irrevocable proxy to Mr. Laskey.
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(
5)
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Richard Laskey and Abbie Laskey, who have granted an irrevocable proxy to Mr. Laskey.
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(
6)
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The option is early exercisable. 1/60th of the shares subject to the option vest each month on the same day of the month as September 30, 2013 (the "Vesting Commencement Date") for the first 24 months. For the following 24 months, 1/40th of the shares subject to the option shall vest each month on the same day of the month as the Vesting Commencement Date.
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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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Laskey Alexander
C/O OPOWER, INC.
1515 NORTH COURTHOUSE ROAD, 8TH FLOOR
ARLINGTON, VA 22201
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X
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President
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Signatures
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/s/ Michael Sachse, Attorney in fact Alexander Laskey
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4/3/2014
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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 5(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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