SEC Form 4 · accession 0001209191-15-074662
CAPELLA EDUCATION CO · CPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen G Shank
Director
Period of report
Oct 5, 2015
Accepted (ET)
Oct 7, 2015 · 5:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001104349
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1,F2,F3 | Oct 5, 2015 | S | 23,845 | $50.8737 | D | 378,709 | I | By Trust |
| Common stockF4,F2,F3 | Oct 6, 2015 | S | 42,800 | $50.7886 | D | 335,909 | I | By Trust |
| Common stockF5,F2,F3 | Oct 7, 2015 | S | 15,555 | $52.3814 | D | 320,354 | I | By Trust |
| Common stockF6 | holding | — | — | — | 79,600 | I | By Trust | |
| Common stockF7 | holding | — | — | — | 16,850 | I | By Trust | |
| Common stockF8 | holding | — | — | — | 114,544 | I | By Spouse's Trust | |
| Common stockF9 | holding | — | — | — | 79,600 | I | By Spouse's Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the weighted average sale price for sales made in the normal course of business on October 5, 2015 at prices ranging from $50.01 to $51.63. The reporting person under takes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares sold at each separate price.
- F2Beneficially owned securities include 1,727 shares of common stock deferred on May 1, 2015 at the election of the reporting person. These deferred shares may be settled at the time the reporting person leaves the board or the company experiences a change in control.
- F3Shares held by the Stephen G. Shank Revocable Trust.
- F4Reflects the weighted average sale price for sales made in the normal course of business on October 6, 2015 at prices ranging from $50.44 to $51.45. The reporting person under takes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares sold at each separate price.
- F5Reflects the weighted average sale price for sales made in the normal course of business on October 7, 2015 at prices ranging from $50.50 to $52.62. The reporting person under takes to provide upon request by the U.S. Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares sold at each separate price.
- F6Shares held by the Stephen G. Shank Sept. 2013 7-Yr Grantor Retained Annuity Trust.
- F7Shares held by the Shank Family 2013 Generation Skipping Trust.
- F8Shares held by the Judith F. Shank Revocable Trust.
- F9Shares held by the Judith F. Shank Sept 2013 7-Yr Grantor Retained Annuity Trust.