SEC Form 5 · accession 0001140361-16-053525
SHUTTERFLY INC · SFLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lisa Blackwood-Kapral
Officer — Chief Accounting Officer
Period of report
Dec 31, 2015
Accepted (ET)
Feb 16, 2016 · 9:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001125920
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 16, 2015 | M | 1,900 | $0.00 | A | 2,674 | D | |
| Common StockF3 | Nov 17, 2015 | F | 719 | $43.87 | D | 1,955 | D | |
| Common Stock | Nov 20, 2015 | S | 1,955 | $46.06 | D | 0 | D | |
| Common StockF1 | holding | — | — | — | 774 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4 | — | Nov 16, 2015 | M | 1,900 | D | — | — | Common Stock | 1,900 | 3,800 | D |
| Restricted Stock UnitsF5 | — | holding | — | — | — | — | — | Common Stock | 2,520 | 2,520 | D |
| Restricted Stock UnitsF6 | — | holding | — | — | — | — | — | Common Stock | 3,750 | 3,750 | D |
| Restricted Stock UnitsF7 | — | holding | — | — | — | — | — | Common Stock | 6,300 | 6,300 | D |
Explanation of responses
- F1The Reporting Person owned 774 shares of the Issuer's common stock on August 20, 2015, the date on which the Reporting Person became the Chief Accounting Officer of the Issuer.
- F2Represents the number of shares of Issuer common stock underlying a restricted stock unit award granted to the Reporting Person on November 4, 2013 pursuant to the Issuer's 2006 Equity Incentive Plan (the "2006 Plan").
- F3Represents the aggregate number of shares of Issuer common stock sold to cover taxes due upon vesting and settlement of the RSUs.
- F4Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning November 4, 2013 and the first installment vested on November 4, 2014.
- F5Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning February 13, 2014 and the first installment vested on February 13, 2015.
- F6Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning August 15, 2014 and the first installment became vested on August 15, 2015.
- F7Each of these RSUs represents a contingent right to receive one (1) share of Issuer common stock pursuant to the 2006 Plan. This award vests in 4 equal annual installments beginning February 23, 2015.