SEC Form 4 · accession 0001209191-16-142617
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter M McGoff
Officer — SVP, Gen. Counsel & Secretary
Period of report
Sep 20, 2016
Accepted (ET)
Sep 23, 2016 · 4:30 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,F2,F3,F4 | Sep 20, 2016 | F | 735 | $14.56 | D | 195,146 | 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 StockF6,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 158,970 | 158,970 | D |
Explanation of responses
- F1Represents shares that have been withheld by the Issuer to satisfy its income tax and withholding and remittance obligations in connection with the net settlement of restricted stock units (RSUs) and does not represent a sale by the Reporting Person.
- F2Includes 16,407 RSUs that represent contingent rights to receive 16,407 shares of the Issuer's Class B Common Stock upon settlement. Each 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.
- F3Includes 175,000 RSUs that represent contingent rights to receive 175,000 shares of the Issuer's Class A Common Stock upon settlement.
- F4Includes 420 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.
- F6Includes 1,218 shares of Class B Common Stock issued in connection with the net settlement of RSUs on September 20, 2016.