SEC Form 4 · accession 0001406666-16-000126
CALIX, INC · CALX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Russo
Officer — President & CEO · Director · 10% Owner
Period of report
Oct 19, 2016
Accepted (ET)
Oct 21, 2016 · 7:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001406666
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Oct 19, 2016 | P | 1,500 | $6.65 | A | 3,306,272 | D | |
| Common StockF3 | Oct 20, 2016 | P | 1,500 | $6.86 | A | 3,307,772 | D | |
| Common StockF4 | holding | — | — | — | 2,239,188 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 284,653 | I | See Footnote | |
| Common StockF6 | holding | — | — | — | 275,633 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2Shares purchased between $6.55 and $6.70 per share at a weighted average price of $6.65. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.
- F3Shares purchased between $6.83 and $6.90 per share at a weighted average price of $6.86. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.
- F4Shares held by The Crescentico Trust, Carl Russo, Trustee.
- F5Shares held by Calgrat Partners, L.P. The managing partner of Calgrat Partners, L.P. is Tim Pasquinelli. Carl Russo and Tim Pasquinelli may be deemed to have shared voting and investment power over the shares held by Calgrat Partners, L.P. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- F6Shares held by Equanimous Investments. The managing members of Equanimous Investments are Carl Russo and Tim Pasquinelli. These individuals may be deemed to have shared voting and investment power over the shares held by Equanimous Investments. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interst therein.