SEC Form 4 · accession 0001078271-17-000041
EXTREME NETWORKS INC · EXTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Shoemaker
Director
Period of report
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 4:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001078271
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 9, 2017 | M | 15,000 | $3.87 | A | 275,748 | D | |
| Common Stock | Nov 9, 2017 | M | 15,000 | $1.85 | A | 290,748 | D | |
| Common Stock | Nov 9, 2017 | M | 26,258 | $0.00 | A | 317,006 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $1.85 | Nov 9, 2017 | M | 15,000 | D | Dec 4, 2009 | Dec 4, 2018 | Common Stock | 15,000 | 0 | D |
| Non-Qualified Stock Option (right to buy) | $3.87 | Nov 9, 2017 | M | 15,000 | D | Apr 26, 2013 | Apr 26, 2019 | Common Stock | 15,000 | 0 | D |
| RSU AwardF1,F2 | $0.00 | Nov 9, 2017 | M | 26,258 | D | Nov 9, 2017 | Nov 18, 2017 | Common Stock | 26,258 | 0 | D |
| RSU AwardF3 | $0.00 | Nov 9, 2017 | A | 14,873 | A | Nov 9, 2018 | Nov 9, 2018 | Common Stock | 14,873 | 14,873 | D |
Explanation of responses
- F1This restricted stock unit vested on November 9th, 2017, the same date our Annual Meeting was held.
- F2This is not an applicable reportable field for this type of grant.
- F3Grant of restricted stock units pursuant to the Extreme Networks, Inc. 2013 Equity Incentive Plan. Vests in full one year after the date of grant.