SEC Form 4/A · accession 0001366340-17-000020
FINJAN HOLDINGS, INC. · FNJN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Julie Mar-Spinola
Officer — CIPO
Period of report
Oct 27, 2016
Accepted (ET)
Mar 9, 2017 · 4:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001366340
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 27, 2016 | M | 5,026 | $0.00 | A | 33,152 | D | |
| Common StockF2,F3,F1 | Oct 27, 2016 | S | 2,010 | $1.6343 | D | 31,142 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | $0.00 | Oct 27, 2016 | M | 5,026 | D | — | — | Common Stock | 5,026 | 5,027 | D |
Explanation of responses
- F1Amended to correct a computation error of 2,010 shares in the reported amount of securities beneficially owned following the transactions.
- F2Represents shares of common stock sold pursuant to a 10b5-1 trading plan entered into on December 12, 2014 to satisfy the reporting person's tax obligations upon vesting of 5,026 restricted stock units ("RSUs")
- F3Weighted average price. These shares were sold in multiple transactions at prices ranging from $1.60 to $1.66 inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- F4Each RSU granted to the reporting person represents the contingent right to receive one share of common stock of Finjan Holdings, Inc. or its equivalent cash value, subject to the terms and conditions of the Finjan Holdings, Inc. 2014 Incentive Compensation Plan
- F5A total of 60,314 RSUs were granted on July 10, 2014. The RSUs vested one-third on January 27, 2015 and an additional 8.33% of the RSUs vest every three calendar months following such date. The RSUs will be settled upon vesting.