SEC Form 4 · accession 0001209191-18-027327
Casa Systems Inc · CASA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jerry Guo
Officer — President & CEO · Director · 10% Owner
Period of report
Apr 30, 2018
Accepted (ET)
May 2, 2018 · 4:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001333835
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 30, 2018 | S | 1,402,905 | $23.8875 | D | 10,090,810 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Guo's sale of common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 100,000 shares, with Mr. Guo's purchase of 100,000 shares of common stock at a price of $13.00 per share on December 19, 2017. Mr. Guo paid to the issuer, upon settlement of the sale, $1,088,750, representing the full amount of the profit realized in connection with the short-swing transaction.
- F2Consists of 9,900,955 shares of Common Stock and 189,855 shares issuable pursuant to outstanding restricted stock units.