SEC Form 4 · accession 0001340127-17-000014
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
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 4:29 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 | Feb 1, 2017 | M | 15,000 | $12.88 | A | 105,937 | D | |
| Common StockF1,F2 | Feb 1, 2017 | S | 15,000 | $18.50 | D | 90,937 | D | |
| Common StockF3,F4 | Feb 2, 2017 | S | 2,470 | $18.98 | D | 88,467 | D | |
| Common StockF1,F4 | Feb 3, 2017 | M | 8,750 | $14.89 | A | 97,217 | D | |
| Common StockF1,F4 | Feb 3, 2017 | S | 8,750 | $20.00 | D | 88,467 | 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) | $12.88 | Feb 1, 2017 | M | 15,000 | D | Mar 15, 2012 | Dec 15, 2021 | Common Stock | 15,000 | 0 | D |
| Stock Option (Right to Buy) | $14.89 | Feb 3, 2017 | M | 8,750 | D | May 12, 2015 | Feb 12, 2025 | Common Stock | 8,750 | 11,250 | 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.
- F3Represents shares automatically sold solely to satisfy tax withholding obligations of reporting person on vesting of restricted stock units.
- F4Includes 83,437 shares of common stock subject to unvested restricted stock units.