SEC Form 4 · accession 0001628280-15-002171
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
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 6:46 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 | Apr 1, 2015 | M | 1,000 | $5.20 | A | 77,278 | D | |
| COMMON STOCKF2 | Apr 1, 2015 | S | 1,000 | $14.15 | 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 | $5.20 | Apr 1, 2015 | M | 1,000 | D | — | Mar 29, 2022 | COMMON STOCK | 1,000 | 73,000 | 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 $14.09 to $14.20, 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.
- F33,379 shares vested on the twenty-ninth day of each month, beginning on March 29, 2013, for a period of 14 months; and 3,378 shares vest on the twenty-ninth day of each month, beginning on May 29, 2014, for a period of 23 months.