SEC Form 4 · accession 0001517650-16-000198
Interactive Intelligence Group, Inc. · ININ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ashley A. Vukovits
Officer — Chief Financial Officer
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 2:25 pm EDT
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 StockF1 | Aug 1, 2016 | M | 905 | $0.00 | A | 5,246 | D | |
| Common StockF1 | Aug 1, 2016 | F | 270 | $53.95 | D | 4,976 | D | |
| Common StockF2 | holding | — | — | — | 137 | I | By 401(k) plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Aug 1, 2016 | M | 905 | D | — | — | Common Stock | 905 | 2,712 | D |
Explanation of responses
- F1The number of shares reported as directly held by the reporting person includes 1,328.85 shares held in the Employee Stock Purchase Plan (ESPP) as of the reporting date.
- F2The number of shares reported as indirectly held by the reporting person in the Interactive Intelligence Group, Inc. 401(k) plan is based on a plan statement dated as of July 29, 2016.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one share of Interactive Intelligence Group, Inc. common stock.
- F4The earned time-based RSUs vest as follows: 905 shares vested on 8/1/16 and the remaining 2,712 shares are scheduled to vest equally on each of 8/1/17, 8/1/18 and 8/1/19.