SEC Form 4 · accession 0001628280-15-005071
LIFELOCK, INC. · LOCK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas W. Robbins
Officer — Interim CLO and Secretary
Period of report
Jun 23, 2015
Accepted (ET)
Jun 25, 2015 · 6:10 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 |
|---|---|---|---|---|---|---|---|---|
| RESTRICTED STOCK UNITSF1 | Jun 23, 2015 | S$0 | 0 | $0.00 | D | 13,433 | D | |
| COMMON STOCKF2 | Jun 23, 2015 | F | 254 | $17.06 | D | 13,430 | D | |
| COMMON STOCKF2 | Jun 24, 2015 | F | 119 | $17.03 | D | 13,311 | D | |
| COMMON STOCK | Jun 24, 2015 | M | 700 | $3.79 | A | 14,011 | D | |
| COMMON STOCK | Jun 23, 2015 | M | 600 | $5.20 | A | 14,611 | D | |
| COMMON STOCKF4 | Jun 24, 2015 | S | 1,300 | $17.09 | D | 13,311 | D | |
| COMMON STOCKF1 | holding | — | — | — | 251 | 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)F5 | $3.79 | Jun 24, 2015 | M | 700 | D | — | Feb 10, 2021 | COMMON STOCK | 700 | 5,330 | D |
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F6 | $5.20 | Jun 24, 2015 | M | 600 | D | — | Mar 29, 2022 | COMMON STOCK | 600 | 9,250 | D |
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F5 | $3.79 | holding | — | — | — | — | Feb 10, 2021 | COMMON STOCK | 6,030 | 6,030 | D |
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F6 | $5.20 | holding | — | — | — | — | Mar 29, 2022 | COMMON STOCK | 9,850 | 9,850 | D |
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F7 | $11.05 | holding | — | — | — | — | Feb 22, 2023 | COMMON STOCK | 24,000 | 24,000 | D |
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F7 | $18.73 | holding | — | — | — | — | Mar 24, 2024 | COMMON STOCK | 18,047 | 18,047 | D |
| EMPLOYEE STOCK OPTION (RIGHT TO BUY)F7 | $13.96 | holding | — | — | — | — | Mar 23, 2025 | COMMON STOCK | 20,052 | 20,052 | D |
Explanation of responses
- F1Since the date of the reporting person's last ownership report, shares of common stock, employee stock options, and restricted stock were transferred to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned, any securities owned by his ex-wife.
- F2Represents shares of common stock withheld by the Issuer to satisfy tax withholding obligations associated with the vesting of restricted stock units.
- F3The shares were sold pursuant to a 10b5-1 trading plan.
- F4The sales were effected through multiple transactions at the price of $17.09.
- F525% of the total number of shares underlying this option vested on January 17, 2012. The remaining shares underlying this option vested at a rate of 1/48 of the total number of shares underlying this option on the 17th day of each month thereafter for a period of 36 months.
- F6291 shares vested on the twenty-ninth day of each month, beginning on April 29, 2012, for a period of 35 months; 1,332 shares vest on the twenty-ninth day of each month, beginning on March 29, 2015, for a period of 12 months; and 1,331 shares vest on March 29, 2016.
- F71/48 of the total number of shares underlying this option vest on each monthly anniversary of the date of grant for a period of 48 months.