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Morrow Andy P – ‘5’ for 12/31/00 re: Ascendant Solutions Inc.

As of:  Tuesday, 2/13/01   ·   For:  12/31/00   ·   Accession #:  909143-1-10   ·   File #:  0-27945

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/13/01  Morrow Andy P                     5          Officer     1:10K  Ascendant Solutions Inc.          Katten Muchin Ro… LLP/FA

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 5   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 5           Annual Statement of Changes in Beneficial              4±    16K 
                Ownership of Securities by an Insider                            

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----------------------------- OMB APPROVAL ----------------------------- OMB Number 3235-0362 Expires: September 30, 2001 Estimated average burden hours per response .... 1.0 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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(f) of the Investment Company Act of 1940 [ ] CHECK THIS BOX IF NO LONGER SUBJECT OF SECTION 16. FORM 4 OR FORM 5 OBLIGATIONS MAY CONTINUE. SEE INSTRUCTION 1(B). [ ] FORM 3 HOLDINGS REPORTED. [ ] FORM 4 TRANSACTIONS REPORTED. ====================================================================== 1. Name and Address of Reporting Person Morrow Andy P. ---------------------------------------------------------------------- (Last) (First) (Middle) 3737 Grader Street, Suite 110 ---------------------------------------------------------------------- (Street) Garland TX 75041 ---------------------------------------------------------------------- (City) (State) (Zip) ====================================================================== 2. Issuer Name and Ticker or Trading Symbol Ascendant Solutions, Inc. (ASDS) ====================================================================== 3. IRS or Social Security Number of Reporting Person (Voluntary) ====================================================================== 4. Statement for Month/Year December 31, 2000 ====================================================================== 5. If Amendment, Date of Original (Month/Year) ====================================================================== 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) Vice President-Sales --------------------------- ====================================================================== 7. Individual or Joint/Group Filing (Check Applicable Line) [ X ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person ====================================================================== ----------------------------------------------------------------------- [Enlarge/Download Table] ================================================================================================================================= Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================================================================= 6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Nature Transaction (Instr. 3, 4 and 5) Beneficially Direct of Indirect 2. Code ------------------------------- Owned at End (D) or Beneficial 1. Transaction (Instr. 8) (A) of Issuer's Indirect Ownership Title of Security Date ------------ or Fiscal Year (I) (Instr. (Instr. 3) (mm/dd/yy) Code Amount (D) Price (Instr 3 & 4) (Instr.4) 4) --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- ================================================================================================================================= Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly
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FORM 5 (continued) [Enlarge/Download Table] Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ==================================================================================================================================== 9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code (A) (D) cisable Date Title Shares 5) 4) 4) 4) --------------------------------------------------------------------------------------------------------------------------------- Employee Stock Options (Right 11/16/ 11/16/ Common to Purchase) $0.70 2000 A 165,000 (1) 2010 Stock 165,000 165,000 D --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- ================================================================================================================================= Explanation of Responses: (1) The options vest 25% on the first anniversary of the date of grant and then 2% per month thereafter until fully vested. /s/ ANDY P. MORROW 02/01/2001 -------------------------------------------- ------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedures.

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘5’ Filing    Date First  Last      Other Filings
9/30/01110-Q,  NT 10-Q
Filed on:2/13/01
For Period end:12/31/00110-K,  4
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Filing Submission 0000909143-01-000010   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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