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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Convertible Series C-2 Preferred Stock | (1) | 12/16/2005 | C | 33,921 | (1) | (1) | Common Stock | 34,121 | (1) | 0 | D | ||||
Convertible Series C-1 Preferred Stock | (3) | 12/16/2005 | C | 1,103 | (3) | (3) | Common Stock | 1,164 | (3) | 0 | I | By Spouse, as a limited partner of GRP II Partners, L.P. (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ONeil Mark F C/O DEALERTRACK HOLDINGS, INC. 1111 MARCUS AVENUE, SUITE M04 LAKE SUCCESS, NY 11042 |
X | Chairman of Board, Pres. & CEO |
/s/ Eric D. Jacobs as attorney-in-fact for Mark F. O'Neil | 12/20/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares of Convertible Series C-2 Preferred Stock were automatically converted into shares of common stock on a 1-to-1.0059 basis upon the closing of the Issuer's initial public offering on December 16, 2005. |
(2) | Includes 30,000 shares of restricted common stock held directly by Mr. O'Neil, and excludes a total of 151,164 shares of common stock held indirectly by Mr. O'Neil, as initially disclosed on Mr. O'Neil's Form 3. |
(3) | Shares of Convertible Series C-1 Preferred Stock were automatically converted into shares of common stock on a 1-to-1.0555 basis upon the closing of the Issuer's initial public offering on December 16, 2005. |
(4) | Includes 100,000 shares of common stock held indirectly by Mr. O'Neil as Trustee for the Mark F. O'Neil Qualified Grantor Retained Annuity Trust, and 50,000 shares of common stock held indirectly by Mr. O'Neil, which shares are held directly by Mr. O'Neil's spouse, as initially disclosed on Mr. O'Neil's Form 3. |
(5) | The shares are held by GRP II Partners, L.P. Monique O'Neil, the spouse of Mark O'Neil, is a limited partner of GRP II Partners, L.P. Through this partnership interest, she has an indirect economic interest in 1,164 shares of common stock. |
(6) | The shares of Convertible Series C-1 Preferred Stock were held by GRP II Partners, L.P. Monique O'Neil, the spouse of Mark O'Neil, is a limited partner of GRP II Partners, L.P. Through this partnership interest, she had an indirect economic interest in approximately 1,103 shares of Convertible Series C-1 Preferred Stock, which automatically converted into 1,164 shares of common stock upon the closing of the Issuer's initial public offering. |