SEC Form 4 · accession 0001340127-17-000002
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
Jan 13, 2017
Accepted (ET)
Jan 17, 2017 · 4:55 pm EST
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 | Jan 13, 2017 | M | 13,750 | $10.17 | A | 107,717 | D | |
| Common StockF1 | Jan 13, 2017 | M | 18,750 | $9.62 | A | 126,467 | D | |
| Common StockF1 | Jan 13, 2017 | M | 50,000 | $9.02 | A | 176,467 | D | |
| Common StockF1 | Jan 13, 2017 | M | 15,000 | $10.26 | A | 191,467 | D | |
| Common StockF1 | Jan 13, 2017 | M | 5,000 | $10.00 | A | 196,467 | D | |
| Common StockF1,F2 | Jan 13, 2017 | S | 102,500 | $17.50 | D | 93,967 | D | |
| Common StockF1,F2 | Jan 13, 2017 | S | 3,030 | $18.00 | D | 90,937 | 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) | $10.17 | Jan 13, 2017 | M | 13,750 | D | May 25, 2014 | Feb 25, 2024 | Common Stock | 13,750 | 6,250 | D |
| Stock Option (Right to Buy) | $9.62 | Jan 13, 2017 | M | 18,750 | D | Apr 30, 2013 | Jan 31, 2023 | Common Stock | 18,750 | 1,250 | D |
| Stock Option (Right to Buy) | $9.02 | Jan 13, 2017 | M | 50,000 | D | Oct 27, 2012 | Oct 27, 2022 | Common Stock | 50,000 | 0 | D |
| Stock Option (Right to Buy) | $10.26 | Jan 13, 2017 | M | 15,000 | D | Apr 24, 2012 | Jan 24, 2022 | Common Stock | 15,000 | 0 | D |
| Stock Option (Right to Buy) | $10.00 | Jan 13, 2017 | M | 5,000 | D | Oct 20, 2011 | Jul 20, 2021 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Represents shares automatically sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 21, 2016.
- F2Includes 90,937 shares of common stock subject to unvested restricted stock units.