SEC Form 4 · accession 0001340127-16-000235
Carbonite Inc · CARB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Danielle Sheer
Officer — Vice President;General Counsel
Period of report
Oct 18, 2016
Accepted (ET)
Oct 21, 2016 · 4:20 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 | Oct 18, 2016 | M | 20,000 | $6.63 | A | 114,532 | D | |
| Common StockF1,F2,F3 | Oct 18, 2016 | S | 20,000 | $15.98 | D | 94,532 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | $6.63 | Oct 18, 2016 | M | 20,000 | D | Jan 17, 2013 | Oct 17, 2022 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Represents shares automatically sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2016.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.87 to $16.09, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3Includes 92,656 shares of common stock subject to unvested restricted stock units.