SEC Form 4 · accession 0001209191-15-007559
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dana L Evan
Director
Period of report
Jan 28, 2015
Accepted (ET)
Jan 29, 2015 · 6:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001372612
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Existing Class A Common StockF1,F2 | Jan 28, 2015 | C | 160,000 | — | A | 160,000 | D | |
| Existing Class A Common StockF3,F2 | Jan 28, 2015 | J | 160,000 | — | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Existing Class B Common StockF1,F2 | — | Jan 28, 2015 | C | 160,000 | D | — | — | Existing Class A Common Stock | 160,000 | 0 | D |
| Class B Common StockF3,F4,F2 | — | Jan 28, 2015 | J | 160,000 | A | — | — | Class A Common Stock | 160,000 | 160,000 | D |
Explanation of responses
- F1The Issuer's existing Class B Common Stock ("Existing Class B Common Stock") automatically converted into the Issuer's existing Class A Common Stock ("Existing Class A Common Stock") on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
- F240,000 of the shares are subject to repurchase by the Issuer.
- F3Immediately prior to the closing of the Issuer's initial public offering and following the conversion of Existing Class B Common Stock into Existing Class A Common Stock, each share of Existing Class A Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
- F4Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.