SEC Form 4 · accession 0001340127-16-000233
Carbonite Inc · CARB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cassandra Hudson
Officer — Chief Accounting Officer
Period of report
Sep 23, 2016
Accepted (ET)
Sep 27, 2016 · 5:22 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 Stock | Sep 23, 2016 | M | 10,937 | $10.40 | A | 46,157 | D | |
| Common Stock | Sep 23, 2016 | M | 8,125 | $10.32 | A | 54,282 | D | |
| Common StockF1,F2 | Sep 23, 2016 | S | 17,500 | $15.00 | D | 36,782 | D | |
| Common StockF1,F2 | Sep 23, 2016 | S | 1,562 | $15.23 | D | 35,220 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $10.40 | Sep 23, 2016 | M | 10,937 | D | Jan 28, 2015 | Oct 28, 2024 | Common Stock | 10,937 | 14,063 | D |
| Stock Option (Right to Buy) | $10.32 | Sep 23, 2016 | M | 8,125 | D | Aug 1, 2013 | May 1, 2023 | Common Stock | 8,125 | 1,875 | D |
Explanation of responses
- F1Represents shares automatically sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2016.
- F2Includes 35,220 shares of common stock subject to restricted stock units.