SEC Form 5 · accession 0001209191-17-009963
CAPELLA EDUCATION CO · CPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen G Shank
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 13, 2017 · 4:11 pm EST
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 | Nov 14, 2016 | G | 4,290 | $0.00 | D | 0 | I | By Trust |
| Common StockF2 | Nov 14, 2016 | G | 4,290 | $0.00 | A | 4,290 | I | By Trust |
| Common StockF3 | Dec 22, 2016 | G | 4,290 | $0.00 | D | 0 | I | By Trust |
| Common StockF4,F5 | Dec 22, 2016 | G | 4,290 | $0.00 | A | 17,860 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Judith F. Shank Sept 2013 7-Yr Grantor Retained Annuity Trust.
- F2The Judith F. Shank Revocable Trust.
- F3The Stephen G. Shank Sept. 2013 7-Yr Grantor Retained Annuity Trust.
- F4Includes 1,844 restricted stock units that will vest on May 1, 2017, and will be settled in shares of CPLA common stock on a 1:1 basis at the time the reporting person leaves the board of directors; and 1,727 deferred stock units, that will be settled in shares of CPLA common stock on a 1:1 basis at the time the reporting person leaves the board of directors or the company experiences a change-in-control.
- F5The Stephen G. Shank Revocable Trust.