SEC Form 4 · accession 0001209191-16-148405
CAPELLA EDUCATION CO · CPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven L. Polacek
Officer — SVP & CFO
Period of report
Nov 2, 2016
Accepted (ET)
Nov 4, 2016 · 4:10 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 Stock | Nov 2, 2016 | M | 12,905 | $41.07 | A | 31,475 | D | |
| Common Stock | Nov 2, 2016 | F | 9,868 | $75.25 | D | 21,607 | 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)F1 | $41.07 | Nov 2, 2016 | M | 12,905 | D | — | Feb 21, 2022 | Common Stock | 12,905 | 0 | D |
Explanation of responses
- F1The option vested in four equal annual installments on February 22, 2013, 2014, 2015, and 2016.