SEC Form 4 · accession 0001209191-16-117542
CAPELLA EDUCATION CO · CPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Darrell R Tukua
Director
Period of report
May 2, 2016
Accepted (ET)
May 4, 2016 · 6:29 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 | May 2, 2016 | M | 1,894 | — | A | 14,116 | I | By Trust |
| Common StockF2,F3 | May 3, 2016 | A | 1,844 | — | A | 15,960 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted stock unitF1 | — | May 2, 2016 | M | 1,894 | D | May 2, 2016 | May 2, 2016 | Common Stock | 1,894 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represented the right to receive, upon vesting, one share of CPLA common stock. 1,894 restricted stock units vested on May 2, 2016 and were settled for an equal number of shares of CPLA common stock.
- F2Represents restricted stock units that will vest in full on May 1, 2017, and will be settled at that time in shares of CPLA common stock on a 1:1 basis.
- F3Includes 1,844 restricted stock units which will vest and be settled in shares of common stock per footnote 2.