SEC Form 4 · accession 0001179110-19-003795
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
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 5:08 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 StockF2,F3 | Mar 11, 2019 | S | 50,000 | $14.4262 | D | 856,132 | I | By Legion Capital, LLC |
| Common Stock | holding | — | — | — | 285,668 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Automatic sale pursuant to a 10b5-1 trading plan adopted by Legion Capital, LLC on November 15, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.96 to $14.61, inclusive. The reporting person undertakes to provide to Carbon Black, Inc., any security holder of Carbon Black, Inc., 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 ranges set forth in this footnote.
- F3The 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.