SEC Form 4 · accession 0001395942-15-000170
OPENLANE, Inc. · OPLN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J. Caruso
Officer — Chief Client Officer
Period of report
Oct 6, 2015
Accepted (ET)
Oct 7, 2015 · 10:39 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001395942
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 6, 2015 | M | 7,978 | $10.00 | A | 7,978 | D | |
| Common Stock | Oct 6, 2015 | S | 7,978 | $37.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $10.00 | Oct 6, 2015 | A | 7,978 | D | — | Aug 20, 2017 | Common Stock | 7,978 | 0 | D |
| Employee Stock Option (right to buy)F1 | $16.677 | holding | — | — | — | — | Aug 19, 2018 | Common Stock | 10,275 | 10,275 | D |
| Employee Stock Option (right to buy)F1 | $13.46 | holding | — | — | — | — | Mar 1, 2020 | Common Stock | 33,585 | 33,585 | D |
| Employee Stock Option (right to buy)F1 | $14.44 | holding | — | — | — | — | Feb 25, 2021 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1All shares are currently exercisable.