SEC Form 4 · accession 0001209191-18-059451
SOUNDTHINKING, INC. · SSTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas T. Groos
Director
Period of report
Nov 16, 2018
Accepted (ET)
Nov 20, 2018 · 4:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001351636
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 16, 2018 | S | 12,000 | $31.50 | D | 50,515 | I | By Trust |
| Common StockF3,F4 | Nov 16, 2018 | S | 35,000 | $31.9096 | D | 483,376 | I | By Limited Liability Company |
| Common StockF5,F4 | Nov 16, 2018 | S | 15,000 | $33.08 | D | 468,376 | I | By Limited Liability Company |
| Common StockF6,F4 | Nov 19, 2018 | S | 13,100 | $31.30 | D | 455,276 | I | By Limited Liability Company |
| Common StockF7,F4 | Nov 19, 2018 | S | 5,623 | $32.575 | D | 449,653 | I | By Limited Liability Company |
| Common StockF8,F4 | Nov 19, 2018 | S | 11,277 | $33.13 | D | 438,376 | I | By Limited Liability Company |
| Common StockF9,F4 | Nov 20, 2018 | S | 10,000 | $32.6889 | D | 428,376 | I | By Limited Liability Company |
| Common StockF10,F4 | Nov 20, 2018 | S | 10,000 | $34.468 | D | 418,376 | I | By Limited Liability Company |
| Common StockF11 | holding | — | — | — | 13,431 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold at prices between $31.46 and $32.2301 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F10The shares were sold at prices between $34.01 and $35.00 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F11Includes 3,295 Restricted Stock Units ("RSUs"). All of the RSUs subject to this Award will vest upon the earlier of May 29, 2019 and the Company's next annual meeting of stockholders. In addition, all such RSUs will vest upon a Change in Control (as defined in the Plan) or immediately prior to the effectiveness of the Participant's resignation or removal (and contingent upon the effectiveness of a Change in Control) in the event that the Participant is required to resign his position as a member of the Board of Directors as a condition of the Change in Control or is removed from his position as a member of the Board of Directors in connection with the Change in Control. Notwithstanding the foregoing, vesting shall terminate upon the Participant's termination of Continuous Service.
- F2Shares held directly by The Thomas T. Groos Revocable Trust, over which Thomas T. Groos holds voting and dispositive power.
- F3The shares were sold at prices between $32.06 and $33.06 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4Shares held directly by RT Groos, LLC, over which Thomas T. Groos holds voting and dispositive power.
- F5The shares were sold at prices between $33.072 and $33.45 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F6The shares were sold at prices between $31.00 and $31.99 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F7The shares were sold at prices between $32.10 and $33.10 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F8The shares were sold at prices between $33.11 and $33.40 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F9The shares were sold at prices between $32.29 and $33.29 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.