SEC Form 4 · accession 0001209191-16-154898

Actua Corp · ACTA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Dec 9, 2016

Accepted (ET)

Dec 13, 2016 · 4:16 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001085621

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $.001 per share	Dec 9, 2016	M	37,500	$9.25	A	235,356	D
Common Stock, par value $.001 per share^F1	Dec 9, 2016	F	27,866	$14.80	D	207,490	D
Common Stock, par value $.001 per share^F2	Dec 12, 2016	S	20,000	$14.6401	D	187,490	D
Common Stock, par value $.001 per share	holding	—	—		—	4,231	I	Held by IRA
Common Stock, par value $.001 per share	holding	—	—		—	15,831	I	Held by 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Appreciation Rights^F3	$9.25	Dec 9, 2016	M	37,500	D	—	May 17, 2022	Common Stock, par value $.001 per share	37,500	0	D

F1This amount reflects 23,438 shares withheld by Issuer to pay exercise price and 4,428 shares withheld by Issuer to satisfy minimum legally required tax withholding obligation.
F2This column reflects the weighted average sales price for multiple transactions reported for December 12, 2016. Actual sales prices for these transactions ranged from $14.50 to $14.7510, inclusive. Mr. Morgan undertakes to provide to Actua Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F3Twenty-five percent of the Stock Appreciation Rights vested on June 15, 2012 and 2.083% vested monthly during the 36-month period thereafter.