SEC Form 4 · accession 0001144204-16-088762
LEAPFROG ENTERPRISES INC · LF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Barbour
Officer — Chief Executive Officer · Director
Period of report
Mar 15, 2016
Accepted (ET)
Mar 17, 2016 · 7:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001138951
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Mar 15, 2016 | M | 32,500 | $0.00 | A | 409,446 | D | |
| Class A Common Stock | Mar 15, 2016 | F | 11,920 | $0.99 | D | 397,526 | D | |
| Class A Common Stock | Mar 15, 2016 | M | 27,500 | $0.00 | A | 425,026 | D | |
| Class A Common Stock | Mar 15, 2016 | F | 10,087 | $0.99 | D | 414,939 | 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 Unit (right to acquire)F2 | $0.00 | Mar 15, 2016 | M | 32,500 | D | — | Mar 15, 2016 | Class A Common Stock | 32,500 | 0 | D |
| Restricted Stock Unit (right to acquire)F3 | $0.00 | Mar 15, 2016 | M | 27,500 | D | — | Mar 15, 2017 | Class A Common Stock | 27,500 | 27,500 | D |
Explanation of responses
- F1Includes 2,000 shares acquired under the Issuer's 2002 Employee Stock Purchase Plan on February 29, 2016.
- F2Granted 3/15/2012 under the Issuer's 2011 Equity and Incentive Plan. Restricted Stock Units vest as to 25% of the shares on 3/15/2013, 3/15/2014, 3/15/2015 and 3/15/2016.
- F3Granted 3/15/2013 under the Issuer's 2011 Equity and Incentive Plan. Restricted Stock Units vest as to 25% of the shares on 3/15/2014, 3/15/2015, 3/15/2016 and 3/15/2017.