SEC Form 4 · accession 0001628280-15-002106
LIFELOCK, INC. · LOCK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clarissa Cerda
Officer — Chief Legal Strategist
Period of report
Mar 27, 2015
Accepted (ET)
Mar 31, 2015 · 6:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001383871
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Mar 27, 2015 | M | 3,000 | $3.00 | A | 79,278 | D | |
| COMMON STOCKF2 | Mar 27, 2015 | S | 3,000 | $13.94 | D | 76,278 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F3 | $3.00 | Mar 27, 2015 | M | 3,000 | D | — | May 15, 2019 | COMMON STOCK | 3,000 | 48,450 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 sales plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.87 to $14.00, inclusive. The reporting person undertakes to provide to LifeLock, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F325% of the total number of shares underlying this option vested on January 12, 2010. The remaining shares underlying this option vested at a rate of 1/48 of the total number of shares underlying this option on the twelfth day of each month thereafter for a period of 36 months.