SEC Form 4 · accession 0001104659-19-000201
Carbon Black, Inc. · CBLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Viscuso
Officer — Chief Strategy Officer
Period of report
Dec 28, 2018
Accepted (ET)
Jan 2, 2019 · 5:36 pm EST
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 Stock | Dec 28, 2018 | M | 4,600 | $3.02 | A | 287,252 | D | |
| Common StockF1 | holding | — | — | — | 1,006,132 | I | By Legion Capital, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $3.02 | Dec 28, 2018 | M | 4,600 | D | — | Jun 26, 2024 | Common Stock | 4,600 | 170,400 | D |
Explanation of responses
- F1The shares are held directly by Legion Capital, LLC. Kyrus Holdings, Inc. ("Kyrus Holdings") is an entity that controls Legion Capital, LLC. Mr. Viscuso is a member of the board of directors and a minority and non-controlling stockholder of Kyrus Holdings. Mr. Viscuso disclaims beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein.
- F2This stock option is fully vested.