SEC Form 4 · accession 0001225208-17-016949
CAI International, Inc. · CAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Garcia
Officer — President and CEO · Director
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 | 137,439 | $25.16 | A | 164,339 | D | |
| Common StockF1 | Nov 1, 2017 | F | 118,226 | $36.23 | D | 46,113 | D | |
| Common Stock | Nov 2, 2017 | M | 36,750 | $17.77 | A | 82,863 | D | |
| Common StockF1 | Nov 2, 2017 | F | 28,127 | $36.48 | D | 54,736 | 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 | $25.16 | Nov 1, 2017 | M | 137,439 | D | — | Apr 29, 2021 | Common Stock | 137,439 | 12,561 | D |
| Stock Option (right to buy)F3 | $17.77 | Nov 2, 2017 | M | 36,750 | D | — | Jun 11, 2022 | Common Stock | 36,750 | 5,250 | 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 April 29, 2015.
- F3The option was fully vested on June 12, 2016.