SEC Form 4 · accession 0001509432-15-000081
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
Jun 18, 2015
Accepted (ET)
Jun 19, 2015 · 2:36 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 | Jun 18, 2015 | M | 49,013 | $6.63 | A | 84,395 | D | |
| Common Stock | Jun 18, 2015 | S | 10,000 | $16.63 | D | 74,395 | D | |
| Common Stock | Jun 18, 2015 | M | 9,607 | $6.63 | A | 84,002 | 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 | Jun 18, 2015 | M | 49,013 | D | — | Nov 15, 2020 | Common Stock | 49,013 | 205,672 | D |
| Employee Stock Option (right to buy)F4 | $6.63 | Jun 18, 2015 | M | 9,607 | D | Jun 1, 2012 | Nov 15, 2020 | Common Stock | 9,607 | 80,393 | D |
Explanation of responses
- F110,000 shares from this transaction reported was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on February 25, 2015.
- F2The transaction reported was effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on February 25, 2015.
- F3The option representing the right to purchase a total of 700,000 shares vests as follows: 1/4th of the shares subject to the option vest on November 1, 2011, subject to the Reporting Person's continuous service with the Issuer through such date, and with respect to 1/48th of the shares subject to the option vest when the Reporting Person completes each month of continuous service thereafter.
- F4The 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.