SEC Form 4 · accession 0001214659-15-008124
Interactive Intelligence Group, Inc. · ININ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald E Brown
Officer — Chairman, President and CEO · Director · 10% Owner
Period of report
Nov 30, 2015
Accepted (ET)
Dec 2, 2015 · 11:05 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001517650
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 30, 2015 | M | 50,000 | $19.66 | A | 3,252,667 | D | |
| Common StockF1 | holding | — | — | — | 500,000 | I | By Grantor Retained Annuity Trusts |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to Buy)F3,F2 | $19.66 | Nov 30, 2015 | M | 50,000 | D | — | Jan 22, 2016 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Effective November 6, 2015, 308,439 shares were distributed as an annuity payment by the grantor retained annuity trust to the reporting person, which shares became directly owned by the reporting person. Subsequent to that distribution, the reporting person contributed those 308,439 directly owned shares to a new grantor retained annuity trust, effective November 6, 2015.
- F212,500 shares became exercisable on each of 1/22/2011, 1/22/2012, 1/22/2013 and 1/22/2014.
- F3Option Grant - #8 blank