SEC Form 4 · accession 0001490281-16-000066
Groupon, Inc. · GRPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sri Viswanath
Officer — SVP of Engineering & CTO
Period of report
Dec 31, 2015
Accepted (ET)
Jan 4, 2016 · 6:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Dec 31, 2015 | M | 17,500 | $0.00 | A | 220,953 | D | |
| Class A Common Stock | Dec 31, 2015 | F | 9,132 | $3.07 | D | 211,821 | D |
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 | — | Dec 31, 2015 | M | 17,500 | D | Dec 31, 2014 | — | Class A Common Stock | 17,500 | 97,500 | D |
Explanation of responses
- F1Shares withheld by the issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities.
- F2Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock.
- F317,500 of the restricted stock units reported on this line vested quarterly beginning on March 31, 2015. All remaining unvested restricted stock units reported on this line have been forfeited as a result of Mr. Viswanath's resignation, effective January 1, 2015.