SEC Form 4 · accession 0001509432-15-000059
RPX Corp · RPXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mallun Yen
Officer — Executive Vice President
Period of report
May 12, 2015
Accepted (ET)
May 13, 2015 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001509432
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 12, 2015 | M | 40,000 | $6.63 | A | 71,647 | D | |
| Common StockF1 | May 12, 2015 | S | 40,000 | $15.3377 | D | 31,647 | D | |
| Common Stock | May 13, 2015 | M | 20,000 | $6.63 | A | 51,647 | D | |
| Common StockF2 | May 13, 2015 | S | 20,000 | $15.5927 | D | 31,647 | 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)F3 | $6.63 | May 12, 2015 | M | 40,000 | D | Jun 1, 2012 | Nov 15, 2020 | Common Stock | 40,000 | 110,000 | D |
| Employee Stock Option (right to buy)F3 | $6.63 | May 13, 2015 | M | 20,000 | D | Jun 1, 2012 | Nov 15, 2020 | Common Stock | 20,000 | 90,000 | D |
Explanation of responses
- F1The price reported in column 4 is the weighted average price. The shares were sold in multiple transactions ranging from $15.30 to $15.40, inclusive. The reporting person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
- F2The price reported in column 4 is the weighted average price. The shares were sold in multiple transactions ranging from $15.57 to $15.645, inclusive.
- F3The option representing the right to purchase a total of 200,000 shares vests as follows: 1/48th of the shares subject to the option vest on this date, and another 1/48th of the shares subject to the option vest when the Reporting Person completes each month of continuous service thereafter.