Filing Details
- Accession Number:
- 0001261970-12-000030
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-30 16:05:06
- Reporting Period:
- 2012-11-28
- Filing Date:
- 2012-11-30
- Accepted Time:
- 2012-11-30 16:05:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1052054 | Evolving Systems Inc | EVOL | Services-Computer Programming Services (7371) | 841010843 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1194024 | S David Oros | C/O Evolving Systems, Inc. 9777 Pyramid Ct., Suite 100 Englewood CO 80112 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-11-28 | 3,500 | $3.92 | 165,108 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2012-11-28 | 3,500 | $3.48 | 168,608 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2012-11-28 | 3,150 | $4.11 | 171,758 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2012-11-28 | 875 | $5.45 | 172,633 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-11-28 | 7,688 | $6.51 | 164,945 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | NQ Stock Option (right to buy) | Disposition | 2012-11-28 | 3,500 | $0.00 | 3,500 | $3.92 |
| Common Stock | NQ Stock Option (right to buy) | Disposition | 2012-11-28 | 3,500 | $0.00 | 3,500 | $3.48 |
| Common Stock | NQ Stock Option (right to buy) | Disposition | 2012-11-28 | 3,150 | $0.00 | 3,150 | $4.11 |
| Common Stock | NQ Stock Option (right to buy) | Disposition | 2012-11-28 | 875 | $0.00 | 875 | $5.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-09-23 | 2020-06-22 | No | 4 | M | Direct |
| 0 | 2011-09-17 | 2021-06-16 | No | 4 | M | Direct |
| 1,050 | 2012-04-06 | 2022-01-05 | No | 4 | M | Direct |
| 2,625 | 2012-09-20 | 2022-06-19 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.48 to $6.53, inclusive. The reporting person undertakes to provide to Evolving Systems, any security holder of Evolving Systems, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- Exercise prices for outstanding options granted from the Amended and Restated 2007 Stock Incentive Plan were adjusted due to the Special Dividends paid on January 3, 2012 and May 29, 2012, per Nasdaq regulations.
- Options are granted without payment of consideration.
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