SEC Form 4 · accession 0001225208-17-016948
CAI International, Inc. · CAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy B Page
Officer — Chief Financial Officer
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 8:14 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 Stock | Nov 1, 2017 | M | 30,000 | $23.14 | A | 33,604 | D | |
| Common Stock | Nov 1, 2017 | M | 15,000 | $22.09 | A | 48,604 | D | |
| Common Stock | Nov 1, 2017 | M | 10,500 | $21.89 | A | 59,104 | D | |
| Common Stock | Nov 1, 2017 | M | 10,000 | $17.77 | A | 69,104 | D | |
| Common Stock | Nov 1, 2017 | M | 8,000 | $26.41 | A | 77,104 | D | |
| Common Stock | Nov 1, 2017 | M | 6,000 | $7.87 | A | 83,104 | D | |
| Common StockF1 | Nov 1, 2017 | F | 58,515 | $36.23 | D | 24,589 | 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)F2 | $23.14 | Nov 1, 2017 | M | 30,000 | D | — | May 8, 2021 | Common Stock | 30,000 | 0 | D |
| Stock Option (right to buy)F3 | $7.87 | Nov 1, 2017 | M | 6,000 | D | — | Jun 2, 2026 | Common Stock | 6,000 | 12,000 | D |
| Stock Option (right to buy)F4 | $21.89 | Nov 1, 2017 | M | 10,500 | D | — | Jun 4, 2025 | Common Stock | 10,500 | 7,500 | D |
| Stock Option (right to buy)F5 | $17.77 | Nov 1, 2017 | M | 10,000 | D | — | Jun 11, 2022 | Common Stock | 10,000 | 0 | D |
| Stock Option (right to buy)F6 | $22.09 | Nov 1, 2017 | M | 15,000 | D | — | Jun 11, 2024 | Common Stock | 15,000 | 3,000 | D |
| Stock Option (right to buy)F7 | $26.41 | Nov 1, 2017 | M | 8,000 | D | — | Jun 13, 2023 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Represents shares withheld by issuer to cover the exercise price and tax obligations upon the exercise of the options.
- F2The option was fully vested on May 8, 2015.
- F36,000 shares of the option were vested on October 3, 2017.
- F410,500 shares of the option were vested on October 4, 2017.
- F5The option was fully vested on June 11, 2016.
- F615,000 shares of the option were vested on October 11, 2017.
- F7The option was fully vested on June 13, 2017.