SEC Form 4 · accession 0001651235-18-000197
Acacia Communications, Inc. · ACIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bhupendra C Shah
Officer — Vice President of Engineering
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001651235
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 12, 2018 | M | 4,000 | $0.41 | A | 129,630 | D | |
| Common Stock | holding | — | — | — | 147,454 | I | By Shah LLC | |
| Common Stock | holding | — | — | — | 60,261 | I | By Bhupendra Shah 1999 Trust U/A DTD 10/06/1999 |
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 | $0.41 | Dec 12, 2018 | M | 4,000 | D | — | Mar 1, 2023 | Common Stock | 4,000 | 18,546 | D |
Explanation of responses
- F1Shares of common stock acquired upon the exercise of outstanding stock options.
- F2Includes 72,354 restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting.
- F3This option, representing a right to purchase a total of 56,364 shares, vested as to 20% of the shares on March 1, 2014, and vested in equal monthly installments thereafter until March 1, 2018.