SEC Form 4 · accession 0000950103-16-010006
Cobalt International Energy, Inc. · CIE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Anthony Smith
Officer — Senior Vice President
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 7:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001471261
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 31, 2015 | S | 1,115 | $5.29 | D | 363,133 | D | |
| Common StockF3 | holding | — | — | — | 3,400 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 3,400 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 3,400 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sale price is a weighted average sale price that represents the sale of these shares of Common Stock at prices ranging from $5.27 to $5.31, inclusive. These shares were sold pursuant to a 10b5-1 plan. The reporting person undertakes to provide upon request by the SEC staff, the Issuer or any security holder of the Issuer, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1).
- F235,000 of the total number of shares held directly by the reporting person are held jointly with his wife.
- F3These shares were purchased on behalf of the reporting person's minor child. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.