SEC Form 4 · accession 0001127602-16-051271
ALTABA INC. · AABA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth A Goldman
Officer — Chief Financial Officer
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 7:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001011006
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 3, 2016 | M | 200,000 | $18.87 | A | 853,811 | D | |
| Common StockF2 | May 3, 2016 | S | 200,000 | $36.0983 | D | 653,811 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4,F3 | $18.87 | May 3, 2016 | M | 200,000 | D | — | Nov 29, 2019 | Common Stock | 200,000 | 558,794 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in December 2015.
- F2This transaction was executed in multiple trades during the day at prices ranging from $35.92 to $36.41. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F3As of March 7, 2016, a total of 818,794 options had vested; no further options remain eligible to vest from this grant.
- F4Not applicable.