SEC Form 4 · accession 0001576427-17-000180
Criteo S.A. · CRTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Warner
Director
Period of report
Sep 15, 2017
Accepted (ET)
Sep 19, 2017 · 4:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001576427
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2,F3 | Sep 15, 2017 | M | 1,250 | $0.84 | A | 1,250 | D | |
| Ordinary SharesF1,F3 | Sep 15, 2017 | S | 1,250 | $42.21 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-employee Warrant (right to buy)F3,F2,F5,F1 | $0.84 | Sep 15, 2017 | M | 1,250 | D | — | Nov 16, 2020 | Ordinary Shares | 1,250 | 8,500 | D |
Explanation of responses
- F1The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.
- F2The exercise price of the warrant is 0.70 euros. The U.S. dollar equivalent of the exercise price is $0.84 using the Federal Reserve Bank of New York noon buying rate for September 8, 2017 (1.00 = $1.2041).
- F3For more information about the equity of the issuer held by the reporting person, please see the issuer's most recent definitive proxy statement filed with the Securities and Exchange Commission.
- F4The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan (the "Trading Plan") adopted by the reporting person. The sales are made in accordance with a trading schedule that is established at the time the Trading Plan is put in place. The reporting person entered into the Trading Plan during an open trading window of the issuer pursuant to its Insider Trading Policy.
- F5Warrant granted on November 16, 2010. One-fourth of the grant vested on the first anniversary of the grant date and an additional 1/16th of the grant vests quarterly thereafter.