SEC Form 4 · accession 0001628280-15-009192
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
Dec 1, 2015
Accepted (ET)
Dec 3, 2015 · 4:38 pm EST
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 | Dec 1, 2015 | M | 2,400 | $5.20 | A | 14,846 | D | |
| COMMON STOCKF2 | Dec 1, 2015 | S | 2,400 | $15.01 | D | 12,446 | 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 | Dec 1, 2015 | M | 2,400 | D | — | Mar 29, 2022 | COMMON STOCK | 2,400 | 6,250 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 trading plan.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.00 to $15.01, 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 range set forth in this footnote.
- F3291 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.