SEC Form 4 · accession 0001340127-18-000123
Carbonite Inc · CARB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Norman Guadagno
Officer — SVP, Marketing
Period of report
Aug 30, 2018
Accepted (ET)
Sep 4, 2018 · 5:13 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 StockF1,F2 | Aug 30, 2018 | S | 534 | $41.60 | D | 86,114 | D | |
| Common StockF3,F4,F2 | Sep 4, 2018 | S | 10,603 | $40.99 | D | 75,511 | D | |
| Common StockF3,F5,F2 | Sep 4, 2018 | S | 1,265 | $41.11 | D | 74,246 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares automatically sold solely to satisfy tax withholding obligations of reporting person on vesting of restricted stock units.
- F2Includes 66,220 shares of common stock subject to unvested restricted stock units.
- F3Represents shares automatically sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 3, 2018.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.65 to $41.33, inclusive. The Reporting Person undertakes to provide Carbonite, Inc., any security holder of Carbonite, Inc., or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.90 to $41.33, inclusive. The Reporting Person undertakes to provide Carbonite, Inc., any security holder of Carbonite, Inc., or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.