SEC Form 4 · accession 0001225208-17-017991
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
Nov 29, 2017
Accepted (ET)
Dec 1, 2017 · 4:43 pm EST
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 29, 2017 | M | 10,875 | $21.89 | A | 54,467 | D | |
| Common Stock | Nov 29, 2017 | M | 10,000 | $26.41 | A | 64,467 | D | |
| Common Stock | Nov 29, 2017 | M | 9,395 | $22.09 | A | 73,862 | D | |
| Common Stock | Nov 29, 2017 | M | 6,375 | $7.87 | A | 80,237 | D | |
| Common StockF1 | Nov 29, 2017 | F | 22,503 | $33.77 | D | 57,734 | 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 | $7.87 | Nov 29, 2017 | M | 6,375 | D | — | Jun 2, 2026 | Common Stock | 6,375 | 11,625 | D |
| Stock Option (right to buy)F3 | $21.89 | Nov 29, 2017 | M | 10,875 | D | — | Jun 4, 2025 | Common Stock | 10,875 | 7,125 | D |
| Stock Option (right to buy)F4 | $22.09 | Nov 29, 2017 | M | 9,395 | D | — | Jun 11, 2024 | Common Stock | 9,395 | 1,605 | D |
| Stock Option (right to buy)F5 | $26.41 | Nov 29, 2017 | M | 10,000 | D | — | Jun 13, 2023 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Represents shares withheld by the issuer to cover the exercise price upon the exercise of the options.
- F26,375 shares of the option were vested on November 3, 2017.
- F310,875 shares of the option were vested on November 5, 2017.
- F49,395 shares of the option were vested on November 12, 2017.
- F5The option was fully vested on June 14, 2017.