SEC Form 4 · accession 0001371285-16-000220
TRUPANION, INC. · TRUP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard E Rubin
Director
Period of report
Aug 9, 2016
Accepted (ET)
Aug 11, 2016 · 5:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001371285
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 9, 2016 | S | 3,574 | $15.0098 | D | 105,126 | D | |
| Common StockF2 | Aug 9, 2016 | S | 15,000 | $15.0063 | D | 90,126 | D | |
| Common StockF3 | Aug 10, 2016 | S | 15,000 | $15.0014 | D | 75,126 | D | |
| Common Stock | Aug 10, 2016 | M | 125,000 | $1.04 | A | 200,126 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $1.04 | Aug 10, 2016 | M | 125,000 | D | — | Mar 16, 2020 | Common Stock | 125,000 | 538,079 | D |
Explanation of responses
- F1The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.045 per share, 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 in this footnote (1).
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.04 per share, 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 in this footnote (2).
- F3The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.01 per share, 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 in this footnote (3).
- F4The option is fully vested.