SEC Form 4 · accession 0001209191-17-038314
Gen Digital Inc. · GEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis C Rosch
Officer — EVP, Norton Business Unit
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000849399
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jun 5, 2017 | S | 19,344 | $30.1282 | D | 193,054 | D | |
| Common Stock | Jun 6, 2017 | M | 28,000 | $10.86 | A | 221,054 | D | |
| Common StockF4,F5 | Jun 6, 2017 | S | 28,000 | $30.2157 | D | 193,054 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non- Qualified Stock Option (right to buy) | $10.86 | Jun 6, 2017 | M | 28,000 | D | Sep 10, 2014 | Sep 10, 2017 | Common Stock | 28,000 | 0 | D |
Explanation of responses
- F1The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 12, 2016.
- F2Represents the aggregate of sales effected on the same day at different prices pursuant to the plan in footnote (1).
- F3Represents the weighted average sales price per share. The shares sold at prices ranging from $29.87 to $30.33 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
- F4Represents the aggregate of sales effected on the same day at different prices.
- F5Represents the weighted average sales price per share. The shares sold at prices ranging from $30.21 to $30.24 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.