SEC Form 4 · accession 0001209191-18-017546
OOMA INC · OOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric B Stang
Officer — CEO and Pres. · Director
Period of report
Sep 15, 2016
Accepted (ET)
Mar 6, 2018 · 8:29 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 StockF1 | Sep 15, 2016 | F | 45,094 | $9.33 | D | 352,025 | D | |
| Common StockF1 | Dec 15, 2016 | F | 8,401 | $9.35 | D | 343,624 | D | |
| Common StockF1 | Mar 15, 2017 | F | 8,862 | $9.30 | D | 334,762 | D | |
| Common StockF1 | Jun 15, 2017 | F | 8,330 | $8.15 | D | 326,432 | D | |
| Common StockF1 | Dec 15, 2017 | F | 46,480 | $9.90 | D | 279,952 | D | |
| Common StockF1 | Dec 15, 2017 | F | 13,452 | $12.00 | D | 266,500 | D | |
| Common StockF2 | holding | — | — | — | 135,121 | I | BY THE STANG FAMILY 2014 GRANTOR RETAINED ANNUITY TRUST | |
| Common StockF3,F4 | holding | — | — | — | 869,653 | I | BY ERIC STANG & PAMELA STANG TR UA 09/02/2004 STANG FAMILY TRUST |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares delivered by Reporting Person to Issuer in payment of the withholding tax liability upon vesting of restricted stock units.
- F2Shares held by the Stang Family 2014 Grantor Retained Annuity Trust (the "GRAT"). Mr. Stang has sole voting and dispositive power with respect to the shares held of record by this entity. 9,068 shares of the Company's common stock previously held by the GRAT were contributed by the GRAT to the Trust (as defined in Footnote 4), pursuant to annuity distributions.
- F3Other than the 9,068 shares of the Company's common stock referenced in Footnote 2, above, these shares were previously reported as directly owned by the reporting person but were contributed to the Trust (as defined in Footnote 4).
- F4Shares held by the Eric Stang & Pamela Stang Trust U/A 09/02/2004 Stang Family Trust (the "Trust"). Voting and investment power over the shares held by the Trust is exercised by the reporting person, as one of the trustees.