SEC Form 4 · accession 0001406666-18-000098
CALIX, INC · CALX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cory Sindelar
Officer — Chief Financial Officer
Period of report
Nov 14, 2018
Accepted (ET)
Nov 16, 2018 · 4:35 pm EST
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 Stock | Nov 14, 2018 | P | 5,000 | $10.50 | A | 40,000 | D | |
| Common StockF2 | Nov 14, 2018 | A | 2,000 | $5.3125 | A | 42,000 | 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 15, 2018 through November 14, 2018. This transaction is also 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 May 15, 2018.