SEC Form 4 · accession 0001104659-18-032294
Carbon Black, Inc. · CBLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald H. Nordin
Director
Period of report
May 8, 2018
Accepted (ET)
May 10, 2018 · 9:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001366527
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 8, 2018 | A | 16,750 | — | A | 77,975 | D | |
| Common StockF2 | May 8, 2018 | C | 45,152 | — | A | 123,127 | D | |
| Common StockF3 | May 8, 2018 | C | 46,421 | — | A | 169,548 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF2 | — | May 8, 2018 | C | 90,304 | D | — | — | Common Stock | 45,152 | 0 | D |
| Series A Redeemable Preferred StockF3 | — | May 8, 2018 | A | 88,480 | A | — | — | Common Stock | 46,421 | 88,480 | D |
| Series A Redeemable Preferred StockF3 | — | May 8, 2018 | C | 88,480 | D | — | — | Common Stock | 46,421 | 0 | D |
Explanation of responses
- F1The shares were acquired pursuant to a restricted stock unit award under the Carbon Black 2012 Stock Option and Grant Plan. Each restricted stock unit represents a contingent right to receive one share of Carbon Black, Inc. common stock. The restricted stock unit fully vests on January 1, 2019.
- F2Each share of Series B Convertible Preferred Stock was convertible and automatically converted into shares of Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering and has no expiration date.
- F3Each share of Series A Redeemable Preferred Stock became convertible for a fixed number of shares and automatically converted into shares of Common Stock on a 0.406-for-1 basis upon the closing of the Issuer's initial public offering and has no expiration date.