SEC Form 4 · accession 0001209191-15-011057
Zeltiq Aesthetics Inc · ZLTQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Lamm
Officer — Vice President of Operations
Period of report
Feb 6, 2015
Accepted (ET)
Feb 9, 2015 · 8:56 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 | Feb 6, 2015 | M | 284 | $1.4313 | A | 23,200 | D | |
| Common Stock | Feb 6, 2015 | M | 1,599 | $10.2028 | A | 24,799 | D | |
| Common Stock | Feb 6, 2015 | M | 1,250 | $4.30 | A | 26,049 | D | |
| Common Stock | Feb 6, 2015 | M | 731 | $11.30 | A | 26,780 | D | |
| Common Stock | Feb 6, 2015 | S | 6,205 | $35.00 | D | 20,575 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.4313 | Feb 6, 2015 | M | 284 | D | — | Nov 29, 2020 | Common Stock | 284 | 0 | D |
| Stock Option (Right to Buy)F3 | $10.2028 | Feb 6, 2015 | M | 1,599 | D | — | Jul 26, 2021 | Common Stock | 1,599 | 3,200 | D |
| Stock Option (Right to Buy)F4 | $4.30 | Feb 6, 2015 | M | 1,250 | D | — | Nov 14, 2022 | Common Stock | 1,250 | 13,750 | D |
| Stock Option (Right to Buy)F5 | $11.30 | Feb 6, 2015 | M | 731 | D | — | Feb 16, 2022 | Common Stock | 731 | 4,750 | 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 November 28, 2014.
- F225% of the granted 13,623 shares underlying this option became exercisable on 11/30/2011. The remaining shares vest in a series of 36 equal monthly installments provided that the Reporting Person continues to provide services to the Issuer.
- F325% of the granted 25,862 shares underlying this option became exercisable on 7/27/2012. The remaining shares vest in a series of 36 equal monthly installments provided that the Reporting Person continues to provide services to the Issuer.
- F425% of the granted 30,000 shares underlying this option became exercisable on 11/15/2013. The remaining shares vest in a series of 36 equal monthly installments provided that the Reporting Person continues to provide services to the Issuer.
- F5One 48th of the granted 17,544 shares vest in equal monthly installments over a 48 month period from the grant date February 17, 2012, provided that the Reporting Person continues to provide services to the Issuer.