Filing Details
- Accession Number:
- 0001261970-11-000045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-19 16:55:06
- Reporting Period:
- 2011-10-17
- Filing Date:
- 2011-10-19
- Accepted Time:
- 2011-10-19 16:55:06
- 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 |
|---|---|---|---|---|---|---|---|
| 1185765 | R Brian Ervine | C/O Evolving Systems, Inc. 9777 Pyramid Court, Suite 100 Englewood CO 80112 | E.v.p. And C.f.o. | 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 (Direct) | Acquisiton | 2011-10-17 | 1,189 | $1.90 | 31,891 | No | 4 | M | Direct | |
| Common Stock (Direct) | Disposition | 2011-10-17 | 1,189 | $7.00 | 30,702 | No | 4 | S | Direct | |
| Common Stock (Direct) | Acquisiton | 2011-10-18 | 311 | $1.90 | 31,013 | No | 4 | M | Direct | |
| Common Stock (Direct) | Disposition | 2011-10-18 | 311 | $7.00 | 30,702 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 (Direct) | Employee Stock Option (right to buy) | Disposition | 2011-10-17 | 1,189 | $0.00 | 1,189 | $1.90 |
| Common Stock (Direct) | Employee Stock Option (right to buy) | Disposition | 2011-10-18 | 311 | $0.00 | 311 | $1.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,712 | 2007-01-06 | 2013-01-05 | No | 4 | M | Direct |
| 4,401 | 2007-01-06 | 2013-01-05 | No | 4 | M | Direct |
Footnotes
- The exercise and sale of the shares reported in this Form 4 were effected pursuant to a selling plan dated May 25, 2011 that is intended to comply with Rule 10b5-1(c). An 8-K announcing the selling plan was filed with the SEC on May 26, 2011.
- Options are granted without payment of consideration.
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