4//SEC Filing
Oberting Kernan V 4
Accession 0001373185-09-000005
CIK 0000945989other
Filed
Apr 20, 8:00 PM ET
Accepted
Apr 21, 9:50 PM ET
Size
16.4 KB
Accession
0001373185-09-000005
Insider Transaction Report
Form 4
Transactions
- Purchase
Common Stock
2009-04-17$2.21/sh+25,287$55,884→ 406,115 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-16$2.21/sh+15,602$34,480→ 380,828 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-20$2.08/sh+300$624→ 406,415 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-21$2.12/sh+300$636→ 406,715 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power)
Oberting Kernan V
Other
Transactions
- Purchase
Common Stock
2009-04-16$2.21/sh+15,602$34,480→ 380,828 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-17$2.21/sh+25,287$55,884→ 406,115 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-20$2.08/sh+300$624→ 406,415 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-21$2.12/sh+300$636→ 406,715 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power)
ASHTON ROBERT B
Other
Transactions
- Purchase
Common Stock
2009-04-16$2.21/sh+15,602$34,480→ 380,828 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-20$2.08/sh+300$624→ 406,415 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-21$2.12/sh+300$636→ 406,715 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power) - Purchase
Common Stock
2009-04-17$2.21/sh+25,287$55,884→ 406,115 total(indirect: Shares held in private accounts over which KVO has voting and dispositive power)
Footnotes (10)
- [F1]Includes 13,866 shares purchased for private accounts over which KVO has both voting and dispositive power pursuant to contract, other than the private account on behalf of Mr. Ashton, and 1,716 shares purchased for a private account on behalf of Mr. Ashton over which KVO has both voting and dispositive power pursuant to contract.
- [F10]Includes 368,182 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,533 shares held in a private account on behalf of Mr. Ashton.
- [F2]Includes $0.01 commission per share.
- [F3]Includes 345,143 shares held in private accounts over which KVO has both voting and dispositive power pursuant to contract. KVO's voting and dispositive power over shares held in these accounts is revocable on or after December 31, 2010. Also includes 35,685 shares held in a private account on behalf of Mr. Ashton, a portfolio manager of KVO, over which KVO has both voting and dispositive power pursuant to contract. KVO's voting and dispositive power over these shares is revocable only if Mr. Ashton terminates his employment with KVO, at which time the right to vote and dispose of those shares will revert to him.
- [F4]Mr. Oberting is the Managing Member of KVO. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934 (the "Exchange Act"), Mr. Oberting may be deemed to beneficially own all of the shares that KVO is deemed to beneficially own. Mr. Oberting disclaims beneficial ownership of any of the securities covered by this Form 4.
- [F5]Mr. Ashton is a portfolio manager of KVO. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934 (the "Exchange Act"), Mr. Ashton may be deemed to beneficially own all of the shares that KVO is deemed to beneficially own. Mr. Ashton disclaims beneficial ownership of any of the securities covered by this Form 4 other than the shares held in a private account on behalf of Mr. Ashton and reported above.
- [F6]Includes 22,505 shares purchased for private accounts other than the private account on behalf of Mr. Ashton and 2,782 shares purchased for a private account on behalf of Mr. Ashton.
- [F7]Includes 367,648 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,467 shares held in a private account on behalf of Mr. Ashton.
- [F8]Includes 267 shares purchased for private accounts other than the private account on behalf of Mr. Ashton and 33 shares purchased for a private account on behalf of Mr. Ashton.
- [F9]Includes 367,915 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,500 shares held in a private account on behalf of Mr. Ashton.
Documents
Issuer
ASTEA INTERNATIONAL INC
CIK 0000945989
Entity typeother
Related Parties
1- filerCIK 0001305456
Filing Metadata
- Form type
- 4
- Filed
- Apr 20, 8:00 PM ET
- Accepted
- Apr 21, 9:50 PM ET
- Size
- 16.4 KB