SEC Form 4 · accession 0001509432-16-000216
RPX Corp · RPXC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Amster
Officer — Chief Executive Officer · Director
Period of report
Nov 20, 2016
Accepted (ET)
Nov 22, 2016 · 8:12 pm EST
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 StockF1,F2 | Nov 20, 2016 | M | 18,205 | $0.00 | A | 1,053,620 | I | By Trust |
| Common StockF2 | Nov 20, 2016 | F | 9,501 | $10.63 | D | 1,044,119 | I | By Trust |
| Common StockF3 | holding | — | — | — | 299,209 | 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 UnitsF4,F5 | $0.00 | Nov 20, 2016 | M | 7,812 | D | May 20, 2013 | — | Common Stock | 7,812 | 7,813 | D |
| Restricted Stock UnitsF4,F6 | $0.00 | Nov 20, 2016 | M | 4,844 | D | May 20, 2015 | — | Common Stock | 4,844 | 43,594 | D |
| Restricted Stock UnitsF4,F7 | $0.00 | Nov 20, 2016 | M | 5,549 | D | — | — | Common Stock | 5,549 | 72,136 | D |
Explanation of responses
- F1Shares held by John A. Amster were subsequently transferred to the Trust.
- F2Shares held by John A. Amster and Colleen Q. Amster, Trustees of The John & Colleen Amster Living Trust dated 3/2/2000
- F3Shares held by JCA, LLC.
- F4Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. The units were awarded at no cost to Reporting Person.
- F56.25% of the 125,000 stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20.
- F66.25% of the 77,500 stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20.
- F76.25% of the 88,782 stock units subject to the award vest on May 20, 2016 and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20.