SEC Form 4 · accession 0001340127-17-000013
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
Jan 30, 2017
Accepted (ET)
Feb 3, 2017 · 4:28 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,F2 | Jan 30, 2017 | M | 1,562 | $10.40 | A | 36,782 | D | |
| Common StockF1,F2 | Jan 30, 2017 | S | 1,562 | $16.55 | D | 35,220 | D | |
| Common StockF1,F2 | Feb 1, 2017 | M | 625 | $10.32 | A | 35,845 | D | |
| Common StockF1,F2 | Feb 1, 2017 | D | 625 | $19.00 | D | 35,220 | D | |
| Common StockF3,F4 | Feb 2, 2017 | S | 2,433 | $18.98 | D | 32,787 | D | |
| Common StockF1,F4 | Feb 3, 2017 | S | 3,851 | $19.05 | D | 28,936 | 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 | Jan 30, 2017 | M | 1,562 | D | Jan 28, 2015 | Oct 28, 2024 | Common Stock | 1,562 | 10,937 | D |
| Stock Option (Right to Buy) | $10.32 | Feb 1, 2017 | M | 625 | D | Aug 1, 2013 | May 1, 2023 | Common Stock | 625 | 625 | 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.
- F3Represents shares automatically sold solely to satisfy tax withholding obligations of reporting person on vesting of restricted stock units.
- F4Includes 28,936 shares of common stock subject to restricted stock units.