SEC Form 4 · accession 0001209191-16-142557
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel J Levin
Officer — President & COO · Director
Period of report
Sep 20, 2016
Accepted (ET)
Sep 22, 2016 · 9:55 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 20, 2016 | C | 5,000 | $0.00 | A | 5,000 | I | See footnote |
| Class A Common StockF3,F1 | Sep 20, 2016 | S | 5,000 | $14.605 | D | 0 | I | See footnote |
| Class A Common StockF4 | holding | — | — | — | 3,752 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF5,F1 | — | Sep 20, 2016 | C | 5,000 | D | — | — | Class A Common Stock | 5,000 | 1,373,600 | I |
Explanation of responses
- F1The shares are held of record by Daniel J. Levin and Naomi J. Andrews, as Trustees of the Levin/Andrews Family Trust.
- F2The reported sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on October 7, 2015.
- F3This sale price represents the weighted average sale price of the shares sold ranging from $14.47 to $14.75 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
- F4Includes 673 shares acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan.
- F5Each 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.