SEC Form 4 · accession 0001354488-15-002091
Function(x) Inc. · FNCX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Small
Officer — Chief Financial Officer
Period of report
May 1, 2015
Accepted (ET)
May 5, 2015 · 4:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000725876
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F2 | May 1, 2015 | M | 31,018 | — | A | 91,018 | D |
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,F1,F2 | — | May 1, 2015 | M | 31,018 | D | — | — | Common Stock | 124,072 | 124,072 | D |
| Restricted Stock UnitsF4,F1,F3 | — | holding | — | — | — | — | — | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive, at settlement, one (1) share of common stock.
- F2Restricted stock units in respect of 155,090 shares of Common Stock granted pursuant to the Company?s 2011 Executive Incentive Plan. These restricted stock units vested as to 31,018 shares on May 1, 2015 and an additional 31,018 shares will vest on each of May 1, 2016, May 1, 2017, May 1, 208 and May 1, 2019.
- F3This restricted stock unit award was granted September 29, 2014 and vested as to 40,000 units on December 4, 2014, and as to 20,000 units on March 5, 2015, and will vest as to 20,000 units on June 4, 2015.
- F4The grant and the vesting of these restricted stock units are exempt from the provisions of Section 16(b) pursuant to Rule 16b-3 promulgated thereunder.