SEC Form 4 · accession 0001209191-17-017992
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
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 6:28 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 Stock | Mar 1, 2017 | M | 28,401 | $0.00 | A | 391,534 | D | |
| Common StockF1 | holding | — | — | — | 10,200 | I | see footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Mar 1, 2017 | M | 28,401 | D | — | — | Common Stock | 28,401 | 56,803 | D |
Explanation of responses
- F1These 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.
- F2The restricted stock units convert into common stock on a one-for-one basis.
- F3The reporting person was granted an aggregate of 85,204 restricted stock units on February 18, 2016 that vest in three equal installments on March 1, 2017, March 1, 2018 and March 1, 2019.