SEC Form 4 · accession 0001225208-17-009194
CAI International, Inc. · CAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel James Hallahan
Officer — Senior VP, Global Marketing
Period of report
May 2, 2017
Accepted (ET)
May 4, 2017 · 7:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001388430
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 2, 2017 | M | 60,000 | $5.60 | A | 68,290 | D | |
| Common StockF2 | May 2, 2017 | F | 15,520 | $21.65 | D | 52,770 | D |
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)F3 | $5.60 | May 2, 2017 | M | 60,000 | D | — | Jun 4, 2019 | Common Stock | 60,000 | 0 | D |
Explanation of responses
- F1Reflects the previous transfer of 4,291 shares of common stock to the reporting person's former spouse pursuant to a domestic relations order. The reporting person disclaims beneficial ownership of such shares of common stock transferred to his former spouse.
- F2Represents shares withheld by the issuer to cover the exercise price upon exercise of the option.
- F3The option was fully vested on May 4, 2013.