SEC Form 4 · accession 0001406666-19-000010
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
May 14, 2018
Accepted (ET)
Feb 11, 2019 · 4:17 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 StockF2 | May 14, 2018 | A | 2,000 | $5.185 | A | 44,000 | D | |
| Common StockF3 | Feb 8, 2019 | P | 10,000 | $7.525 | A | 54,000 | 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 November 15, 2017 through May 14, 2018. This transaction is also exempt under Rule 16b-3(c).
- F2In accordance with the ESPP, these shares were purchased at 85% of the closing price of the issuer's common stock on November 15, 2017, the first trading day of the purchase period.
- F3Shares purchased between $7.50 and $7.55 per share at a weighted average price of $7.525. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.