SEC Form 4 · accession 0001209191-17-060911
QUALYS, INC. · QLYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philippe F Courtot
Officer — Chairman, President & CEO · Director · 10% Owner
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 4:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001107843
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 13, 2017 | M | 20,000 | $3.80 | A | 5,564,435 | D | |
| Common StockF2 | Nov 13, 2017 | S | 3,595 | $57.0413 | D | 5,560,840 | D | |
| Common StockF3 | Nov 13, 2017 | S | 16,405 | $57.7387 | D | 5,544,435 | D | |
| Common Stock | Nov 14, 2017 | M | 20,000 | $3.80 | A | 5,564,435 | D | |
| Common StockF4 | Nov 14, 2017 | S | 20,000 | $57.9379 | D | 5,544,435 | D | |
| Common StockF5 | holding | — | — | — | 100,000 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F6 | $3.80 | Nov 13, 2017 | M | 20,000 | D | — | Dec 2, 2019 | Common Stock | 20,000 | 421,927 | D |
| Stock Option (right to buy)F6 | $3.80 | Nov 14, 2017 | M | 20,000 | D | — | Dec 2, 2019 | Common Stock | 20,000 | 401,927 | D |
Explanation of responses
- F1The sale transaction reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 29, 2017.
- F2The sale price represents the weighted average price of the shares sold ranging from $56.35 to $57.30 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F3The sale price represents the weighted average price of the shares sold ranging from $57.35 to $58.20 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F4The sale price represents the weighted average price of the shares sold ranging from $57.45 to $58.40 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F5These shares are held directly by a custodian under the Uniform Gifts to Minors Act for the benefit of the Reporting Person's minor child.
- F6The option is fully vested and immediately exercisable.