SEC Form 4 · accession 0001638599-15-000236
JAMBA, INC. · JMBA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen L Luey
Officer — EVP, CAO, CFO & Secretary
Period of report
Oct 8, 2015
Accepted (ET)
Oct 13, 2015 · 6:00 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316898
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Oct 8, 2015 | M | 4,000 | $6.55 | A | 52,152 | D | |
| Common StockF1,F2 | Oct 8, 2015 | S | 2,000 | $14.615 | D | 50,152 | D | |
| Common StockF1,F2 | Oct 8, 2015 | S | 2,000 | $14.633 | D | 48,152 | D |
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)F3 | $6.55 | Oct 8, 2015 | M | 4,000 | A | — | Sep 3, 2018 | Common Stock | 4,000 | 7,524 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 8, 2015.
- F2The securities reported in this column include 10,001 restricted stock units which give the Reporting Person a contingent right to receive at a future date one share of JMBA common stock for each restricted stock unit held as of the date of this filing.
- F3The option vested in four equal installments on September 3, 2009, 2010, 2011, and 2012.