SEC Form 4 · accession 0001209191-17-037918
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dylan C Smith
Officer — Chief Financial Officer · Director
Period of report
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 6:03 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 Stock | Jun 1, 2017 | C | 39,000 | $0.00 | A | 39,000 | D | |
| Class A Common Stock | Jun 1, 2017 | S | 39,000 | $20.00 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF2 | — | Jun 1, 2017 | C | 39,000 | D | — | — | Class A Common Stock | 39,000 | 1,277,545 | D |
| Class B Common StockF2,F3 | — | holding | — | — | — | — | — | Class A Common Stock | 85,000 | 85,000 | I |
Explanation of responses
- F1The reported sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 8, 2016.
- F2Each 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.
- F3The shares are held of record by the DCS GRAT of 2014, for which the Reporting Person serves as trustee.