SEC Form 4 · accession 0001366340-18-000053
FINJAN HOLDINGS, INC. · FNJN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Hartstein
Officer — President & CEO
Period of report
Oct 8, 2018
Accepted (ET)
Oct 10, 2018 · 4:45 pm EDT
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 8, 2018 | M | 50,000 | $1.6559 | A | 130,250 | D | |
| Common StockF1,F2 | Oct 8, 2018 | S | 50,000 | $5.0566 | D | 80,250 | D | |
| Common StockF3,F4 | Oct 8, 2018 | S | 27,500 | $5.3194 | D | 52,750 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Option (right to buy)F5 | $1.6559 | Oct 8, 2018 | M | 50,000 | D | Mar 31, 2017 | May 7, 2023 | Common Stock | 50,000 | 382,403 | D |
Explanation of responses
- F1Represents shares of common stock acquired upon the exercise of stock options and sold pursuant to a 10b5-1 trading plan entered into as of August 25, 2015.
- F2Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.22 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
- F3Represents shares of common stock sold pursuant to a 10b5-1 trading plan entered into as of August 25, 2015.
- F4Weighted average price. These shares were sold in multiple transactions at prices ranging from $5.22 to $5.50 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.
- F5Represents fully vested stock options.