Statement of Changes in Beneficial Ownership (4)
November 10 2014 - 6:34PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Yates Daniel
|
2. Issuer Name
and
Ticker or Trading Symbol
OPOWER, INC.
[
OPWR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
|
(Last)
(First)
(Middle)
C/O OPOWER, INC., 1515 NORTH COURTHOUSE ROAD, 8TH FLOOR
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/6/2014
|
(Street)
ARLINGTON, VA 22201
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
11/6/2014
|
|
S
(1)
|
|
7224
|
D
|
$16.424
(2)
|
6705659
|
D
|
|
Common Stock
|
11/7/2014
|
|
S
(1)
|
|
17367
|
D
|
$16.6792
(2)
|
6688292
|
D
|
|
Common Stock
|
11/10/2014
|
|
S
(1)
|
|
7868
|
D
|
$16.9698
(2)
|
6680424
|
D
|
|
Common Stock
|
11/6/2014
|
|
S
(1)
|
|
1794
|
D
|
$16.424
(2)
|
1663765
|
I
|
See Footnote
(3)
|
Common Stock
|
11/7/2014
|
|
S
(1)
|
|
4312
|
D
|
$16.6792
(2)
|
1659453
|
I
|
See Footnote
(3)
|
Common Stock
|
11/10/2014
|
|
S
(1)
|
|
1953
|
D
|
$16.9698
(2)
|
1657500
|
I
|
See Footnote
(3)
|
Common Stock
|
|
|
|
|
|
|
|
50000
|
I
|
See Footnote
(4)
|
Common Stock
|
|
|
|
|
|
|
|
1274
|
I
|
See Footnote
(5)
|
Common Stock
|
|
|
|
|
|
|
|
50000
|
I
|
See Footnote
(6)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
This sale was effected pursuant to Rule 10b5-1 trading plans adopted by the Reporting Person on June 12, 2014.
|
(
2)
|
The sale prices reported in column 4 of Table 1 represent the weighted average sale prices of the shares sold ranging from $16.23 to $16.55, $16.36 to $16.8734, and $16.69 to $17.17 per share, respectively. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
|
(
3)
|
Shares held by the Yates-Whitman 2013 Annuity Trust #1.
|
(
4)
|
Shares held by Ivan Jellinek and Monica Jellinek, who have granted an irrevocable proxy to Mr. Yates.
|
(
5)
|
Shares held by Pierre Poussard and Mary Winston Nicklin, who have granted an irrevocable proxy to Mr. Yates.
|
(
6)
|
Shares held by Ralph Aaron Yates, Dorit Strauss Yates and Daniel Joseph Yates, Trustees of the Ralph Aaron Yates and Dorit Strauss Yates Declaration of Trust Dated December 19, 1990, who have granted an irrevocable proxy to Mr. Yates.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Yates Daniel
C/O OPOWER, INC.
1515 NORTH COURTHOUSE ROAD, 8TH FLOOR
ARLINGTON, VA 22201
|
X
|
|
Chief Executive Officer
|
|
Signatures
|
/s/Michael Sachse, Attorney-in-fact for Daniel Yates
|
|
11/10/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
OPOWER, INC. (NYSE:OPWR)
Historical Stock Chart
From Jun 2024 to Jul 2024
OPOWER, INC. (NYSE:OPWR)
Historical Stock Chart
From Jul 2023 to Jul 2024