SEC Form 4 · accession 0001406666-16-000146
CALIX, INC · CALX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sheila Cheung
Officer — VP, Finance & Accounting
Period of report
Nov 1, 2016
Accepted (ET)
Nov 4, 2016 · 8:33 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 | Nov 1, 2016 | A | 2,000 | $5.31 | A | 2,000 | 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 May 2, 2016 through November 1, 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 November 1, 2016.