SEC Form 4 · accession 0001406666-16-000144
CALIX, INC · CALX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Atkins
Officer — Executive VP and CFO
Period of report
Apr 29, 2016
Accepted (ET)
Nov 4, 2016 · 7:35 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 | Apr 29, 2016 | A | 2,000 | $5.89 | A | 5,758 | D | |
| Common StockF4 | Nov 1, 2016 | A | 2,000 | $5.31 | A | 7,758 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 2, 2015 through April 29, 2016. This transaction is exempt under Rule 16b-3(c).
- F2In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on April 29, 2016.
- F3The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. ESPP for the purchase period of May 2, 2016 through November 1, 2016. This transaction is exempt under Rule 16b-3(c).
- F4In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on November 1, 2016.