SEC Form 4 · accession 0001209191-15-063728
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
Jul 31, 2015
Accepted (ET)
Aug 4, 2015 · 5:24 pm EDT
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 | Jul 31, 2015 | M | 2,500 | $4.30 | A | 23,510 | D | |
| Common Stock | Jul 31, 2015 | M | 1,600 | $10.2028 | A | 25,110 | D | |
| Common Stock | Jul 31, 2015 | S | 4,100 | $36.60 | D | 21,010 | D | |
| Common Stock | Aug 3, 2015 | M | 625 | $4.30 | A | 21,635 | D | |
| Common Stock | Aug 3, 2015 | S | 625 | $35.00 | D | 21,010 | 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 | $4.30 | Jul 31, 2015 | M | 2,500 | D | — | Nov 14, 2022 | Common Stock | 2,500 | 10,625 | D |
| Stock Option (Right to Buy)F3 | $10.2028 | Jul 31, 2015 | M | 1,600 | D | — | Jul 26, 2021 | Common Stock | 1,600 | 1,600 | D |
| Stock Option (Right to Buy)F2 | $4.30 | Aug 3, 2015 | M | 625 | D | — | Nov 14, 2022 | Common Stock | 625 | 10,000 | 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.
- F225% 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.
- F3The option is fully vested.