SEC Form 4 · accession 0001209191-16-141761
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
Sep 15, 2016
Accepted (ET)
Sep 16, 2016 · 3:18 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 | Sep 15, 2016 | M | 3,125 | $4.30 | A | 28,251 | D | |
| Common Stock | Sep 15, 2016 | S | 3,125 | $40.00 | D | 25,126 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $4.30 | Sep 15, 2016 | M | 3,125 | D | — | Nov 14, 2022 | Common Stock | 3,125 | 5,000 | 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 total number of shares subject to the option vest on November 15, 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.