Filing Details
- Accession Number:
- 0001140361-16-086642
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 20:52:44
- Reporting Period:
- 2016-09-30
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 20:52:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1575793 | Energous Corp | WATT | Radio & Tv Broadcasting & Communications Equipment (3663) | 461318953 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1613480 | Cesar Johnston | C/O Energous Corporation 3590 North First Street, Suite 210 San Jose CA 95134 | Senior Vp, Engineering | 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 | 2016-09-30 | 8,885 | $0.00 | 162,848 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-10 | 40,000 | $14.37 | 122,848 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-11 | 18,164 | $14.02 | 104,684 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Share Units | Acquisiton | 2016-09-30 | 8,885 | $0.00 | 8,885 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 112,733 | No | 4 | M | Direct |
Footnotes
- Represents shares of common stock received upon vesting of a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.
- Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $14.33 to $14.50 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range.
- Represents shares sold to cover taxes due upon vesting and settlement of restricted share units.
- Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.06 per share. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased at each separate price within the range.
- Each performance share unit represents a contingent right to receive one share of common stock.
- Represents a performance share unit award granted on May 21, 2015 pursuant to the Company's 2015 Performance Share Unit Plan and partially earned on September 30, 2016 based on the satisfaction of certain performance-based vesting requirements. 50% of any shares earned shall be deferred and paid after December 31, 2018, subject to the reporting person's continued service with the Issuer.
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