SEC Form 4 · accession 0001209191-16-091769
GREEN DOT CORP · GDOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Ricci
Officer — General Counsel and Secretary
Period of report
Jan 14, 2016
Accepted (ET)
Jan 15, 2016 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001386278
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Jan 14, 2016 | M | 86,153 | $0.00 | A | 194,262 | D | |
| Class A Common StockF2 | Jan 14, 2016 | S | 7,866 | $15.49 | D | 186,396 | D | |
| Class A Common StockF3 | holding | — | — | — | 4,460 | I | By minor children |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy Class A Common Stock) | $1.41 | Jan 14, 2016 | M | 86,153 | D | Jan 19, 2010 | Jan 19, 2016 | Class A Common Stock | 86,153 | 0 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2015.
- F2The price in column 4 is a weighted average price. The actual sale prices for these transactions ranged from $15.30 to $15.68. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, complete information regarding the number of shares sold at each separate price within the range.
- F3The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.