SEC Form 4 · accession 0001209191-15-004612
Zeltiq Aesthetics Inc · ZLTQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jean George
Director
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 1:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001415336
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 15, 2015 | M | 16,887 | $6.34 | A | 16,887 | D | |
| Common Stock | Jan 15, 2015 | M | 596 | $5.06 | A | 17,483 | D | |
| Common StockF2 | Jan 15, 2015 | S | 17,483 | $29.2564 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3 | $6.34 | Jan 15, 2015 | M | 16,887 | D | — | Jun 18, 2023 | Common Stock | 16,887 | 1,193 | D |
| Stock Options (Right to Buy)F4 | $5.06 | Jan 15, 2015 | M | 596 | D | — | Jun 14, 2022 | Common Stock | 596 | 3,377 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 2, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.97 to $29.83, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F3The stock option vested in 12 equal monthly installments and became fully vested on 6/19/14.
- F425% of the total number of shares subject to the option vested on June 14, 2013, and the remainder vest in equal monthly installments over a 36 month period thereafter, subject to the Reporting Person's continued service to the Issuer.