SEC Form 4 · accession 0001209191-17-013778
OOMA INC · OOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A. Gustke
Officer — Vice President of Marketing
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 4:24 pm EST
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 StockF2 | Feb 21, 2017 | S | 6,000 | $10.0728 | D | 208,327 | 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 | $10.20 | holding | — | — | — | — | Feb 13, 2027 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.
- F2The range of prices for the shares of Common Stock is from $9.90 to $10.25. 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.
- F31/8th of the shares subject to the option will vest and become exercisable on September 15, 2017 and 1/16th of the shares subject to the option shall vest and become exercisable on the same day of every third month thereafter.