Filing Details
- Accession Number:
- 0001209191-16-111646
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-04-01 16:44:34
- Reporting Period:
- 2016-03-30
- Filing Date:
- 2016-04-01
- Accepted Time:
- 2016-04-01 16:44:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1095315 | Pfsweb Inc | PFSW | Services-Business Services, Nec (7389) | 752837058 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1233452 | D Cynthia Almond | C/O Pfsweb, 505 Millennium Allen TX 75013 | Executive Vice President | No | Yes | 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 | 2016-03-30 | 20,000 | $4.00 | 57,420 | No | 5 | M | Direct | |
| Common Stock | Disposition | 2016-03-30 | 20,000 | $13.09 | 37,420 | No | 5 | S | Direct | |
| Common Stock | Disposition | 2016-03-30 | 12,766 | $13.20 | 24,654 | No | 5 | S | Direct | |
| Common Stock | Acquisiton | 2016-03-31 | 18,043 | $0.00 | 42,697 | No | 5 | M | Direct | |
| Common Stock | Disposition | 2016-03-31 | 4,772 | $13.20 | 37,925 | No | 5 | F | Direct | |
| Common Stock | Acquisiton | 2016-03-31 | 1,250 | $0.00 | 39,175 | No | 5 | A | Direct | |
| Common Stock | Disposition | 2016-03-31 | 331 | $13.20 | 38,844 | No | 5 | F | Direct | |
| Common Stock | Acquisiton | 2016-03-31 | 18,085 | $0.00 | 56,929 | No | 5 | A | Direct | |
| Common Stock | Disposition | 2016-03-31 | 4,783 | $13.20 | 52,146 | No | 5 | F | Direct | |
| Common Stock | Acquisiton | 2016-03-31 | 8,531 | $0.00 | 60,677 | No | 5 | A | Direct | |
| Common Stock | Disposition | 2016-03-31 | 2,256 | $13.20 | 58,421 | No | 5 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | M | Direct | |
| No | 5 | S | Direct | |
| No | 5 | S | Direct | |
| No | 5 | M | Direct | |
| No | 5 | F | Direct | |
| No | 5 | A | Direct | |
| No | 5 | F | Direct | |
| No | 5 | A | Direct | |
| No | 5 | F | Direct | |
| No | 5 | A | Direct | |
| No | 5 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to buy | Disposition | 2016-03-30 | 20,000 | $0.00 | 20,000 | $4.00 |
| Common Stock | Performance Share Award | Disposition | 2016-03-31 | 18,043 | $0.00 | 18,043 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2016-03-31 | 1,250 | $0.00 | 1,250 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2016-03-31 | 18,085 | $0.00 | 18,085 | $0.00 |
| Common Stock | Performance Share Award | Disposition | 2016-03-31 | 8,531 | $0.00 | 8,531 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 17,000 | 2020-04-18 | No | 5 | M | Direct | |
| 18,043 | No | 5 | M | Direct | ||
| 2,500 | No | 5 | M | Direct | ||
| 0 | No | 5 | M | Direct | ||
| 25,591 | No | 5 | M | Direct |
Footnotes
- Exercise of employee stock option issued under the 2005 Employee Stock Option and Incentive Plan (the "Plan").
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.02 to $13.19 inclusive. The reporting person undertakes to provide to PFSweb, Inc., any security holder thereof or the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- Sale of shares acquired upon prior exercise of employee stock option. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.14 to $13.26 inclusive. The reporting person undertakes to provide to PFSweb, Inc., any security holder thereof or the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- Issuance of Common Stock upon partial settlement of previously issued Performance Share Award granted under the Plan.
- Shares of common stock withheld by Issuer to satisfy tax withholding obligation
- Settlement of Restricted Stock Unit Award issued under the Plan.
- These shares became exercisable on a cumulative basis from July 19, 2010 to April 19, 2013
- Partial settlement of Performance Share Award issued under the Plan whose remaining shares are subject to future vesting based on future service and market price measurement conditions.
- Partial settlement of Restricted Stock Unit Award granted under the Plan whose remaining shares are subject to future vesting based on future service conditions.
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