SEC Form 4 · accession 0001209191-17-028957
CAPELLA EDUCATION CO · CPLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew E Watt
Officer — Senior Vice President
Period of report
Apr 27, 2017
Accepted (ET)
May 1, 2017 · 4:34 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 | Apr 27, 2017 | M | 1,300 | $89.09 | A | 8,714 | D | |
| Common StockF1 | Apr 27, 2017 | F | 1,236 | $96.05 | D | 7,478 | D | |
| Common StockF1 | Apr 27, 2017 | M | 827 | $32.26 | A | 8,305 | D | |
| Common StockF1 | Apr 27, 2017 | F | 461 | $96.05 | D | 7,844 | D | |
| Common StockF1 | Apr 27, 2017 | M | 630 | $64.99 | A | 8,474 | D | |
| Common StockF1 | Apr 27, 2017 | F | 494 | $96.05 | D | 7,980 | D | |
| Common StockF1 | Apr 27, 2017 | M | 959 | $65.40 | A | 8,939 | D | |
| Common StockF1 | Apr 27, 2017 | F | 754 | $96.05 | D | 8,185 | D | |
| Common StockF1 | Apr 27, 2017 | M | 1,504 | $45.46 | A | 9,689 | D | |
| Common StockF1 | Apr 27, 2017 | F | 977 | $96.05 | D | 8,712 | D | |
| Common Stock | holding | — | — | — | 447 | I | Held in 401(k) Plan |
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)F2 | $89.09 | Apr 27, 2017 | M | 1,300 | D | — | May 10, 2017 | Common Stock | 1,300 | 0 | D |
| Employee Stock Option (right to buy) | $32.26 | Apr 27, 2017 | M | 827 | D | Feb 21, 2017 | Feb 20, 2023 | Common Stock | 827 | 0 | D |
| Employee Stock Option (right to buy) | $64.99 | Apr 27, 2017 | M | 630 | D | Feb 20, 2017 | Feb 19, 2024 | Common Stock | 630 | 630 | D |
| Employee Stock Option (right to buy) | $65.40 | Apr 27, 2017 | M | 959 | D | Feb 19, 2017 | Feb 18, 2025 | Common Stock | 959 | 1,918 | D |
| Employee Stock Option (right to buy) | $45.46 | Apr 27, 2017 | M | 1,504 | D | Feb 22, 2017 | Feb 21, 2026 | Common Stock | 1,504 | 4,511 | D |
Explanation of responses
- F1Includes 6,907 restricted stock units, which upon vesting, will be settled in shares of CPLA common stock on a 1:1 basis.
- F2The option vested in four equal annual installments on May 11, 2011, 2012, 2013, and 2014.