SEC Form 4 · accession 0001209191-16-142062
OOMA INC · OOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Spencer D. Jackson
Officer — VP, General Counsel & Sec.
Period of report
Sep 15, 2016
Accepted (ET)
Sep 19, 2016 · 6:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001327688
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 15, 2016 | A | 3,000 | $5.01 | A | 109,500 | D | |
| Common StockF3 | Sep 15, 2016 | S | 3,000 | $9.3317 | D | 106,500 | D | |
| Common Stock | Sep 16, 2016 | S | 9,720 | $9.0188 | D | 96,780 | D | |
| Common StockF4 | holding | — | — | — | 37,500 | I | By Millennium Trust Company, LLC, Custodian FBO Account Owner Spencer D Jackson Roth/IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares acquired under the Issuer's Employee Stock Purchase Plan.
- F2Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.
- F3The range of prices for the shares of Common Stock is from $9.28 to $9.39. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
- F4Shares held by Millennium Trust Company, LLC, Custodian FBO Account Owner Spencer D Jackson Roth/IRA. Mr. Jackson holds voting and dispositive power with respect to the shares held of record by this entity.