SEC Form 4 · accession 0001396446-17-000035
CYS Investments, Inc. · CYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Rosenbloom
Officer — EVP, GC, and Secretary
Period of report
Feb 18, 2017
Accepted (ET)
Feb 22, 2017 · 4:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001396446
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 par value per shareF1 | Feb 18, 2017 | A | 27,564 | $7.80 | A | 172,963 | D | |
| Common Stock, $.01 par value per shareF2 | Feb 18, 2017 | F | 1,706 | $7.80 | D | 171,257 | D | |
| Common Stock, $.01 par value per shareF3 | Feb 18, 2017 | F | 2,412 | $7.80 | D | 168,845 | D | |
| Common Stock, $.01 par value per shareF4 | Feb 18, 2017 | F | 2,126 | $7.80 | D | 166,719 | D | |
| Common Stock, $.01 par value per shareF5 | Feb 20, 2017 | F | 1,673 | $7.80 | D | 165,046 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares acquired by the Reporting Person reflect compensation from the Issuer's 2016 Incentive Compensation Plan and were issued under the Issuer's 2013 Equity Incentive Plan. The shares have been issued pursuant to the terms and conditions of a Stock Award Agreement and are subject to a 5-year pro-rata vesting schedule.
- F2The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the shares of restricted stock that vested on February 18, 2017, pursuant to the terms and conditions of a Stock Award Agreement by and between the Issuer and the Reporting Person, dated February 18, 2016.
- F3The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the shares of restricted stock that vested on February 18, 2017, pursuant to the terms and conditions of a Stock Award Agreement by and between the Issuer and the Reporting Person, dated February 18, 2015.
- F4The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the shares of restricted stock that vested on February 18, 2017, pursuant to the terms and conditions of a Stock Award Agreement by and between the Issuer and the Reporting Person, dated February 18, 2014.
- F5The Reporting Person disposed of these shares to the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the shares of restricted stock that vested on February 20, 2017, pursuant to the terms and conditions of a Stock Award Agreement by and between the Issuer and the Reporting Person, dated February 20, 2013.