SEC Form 4 · accession 0001340127-16-000193
Carbonite Inc · CARB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Friend
Director
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 5:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001340127
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 1, 2016 | A | 13,241 | $0.00 | A | 1,023,993 | D | |
| Common StockF1 | Jun 1, 2016 | A | 3,310 | $0.00 | A | 1,027,303 | D | |
| Common StockF2 | holding | — | — | — | 405,470 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 27,006 | I | By Trust | |
| Common StockF4 | holding | — | — | — | 363,652 | I | By Trust | |
| Common StockF5 | holding | — | — | — | 24,525 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the grant of restricted stock that will vest in full and no longer be subject to forfeiture on the earlier of the date of the Company's next annual meeting of stockholders or June 1, 2017, in each case subject to the Registrant's continuing service as a director. This restricted stock grant also provides for accelerated vesting on an acquisition of the Issuer.
- F2These shares are owned by the Friend-Shepherd Family 2009 Irrev Trust II. The reporting person's children are beneficiaries of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- F3These shares are owned by the Margaret Shepherd Revocable Trust. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- F4These shares are owned by the David Friend Revocable Trust. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- F5These shares are owned by Margaret F.A. Shepherd. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.