SEC Form 4 · accession 0001209191-18-009815
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dylan C Smith
Officer — Chief Financial Officer · Director · 10% Owner
Period of report
Feb 12, 2018
Accepted (ET)
Feb 13, 2018 · 8:07 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Feb 12, 2018 | C | 13,000 | $0.00 | A | 13,000 | D | |
| Class A Common StockF2 | Feb 12, 2018 | S | 13,000 | $20.423 | 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 StockF3 | — | Feb 12, 2018 | C | 13,000 | D | — | — | Class A Common Stock | 13,000 | 1,225,545 | D |
| Class B Common StockF4,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 4, 2017.
- F2This sale price represents the weighted average sale price of the shares sold ranging from $20.19 to $20.59 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.
- F3Each 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.
- F4The shares are held of record by the DCS GRAT of 2014, for which the Reporting Person serves as trustee.