SEC Form 3 · accession 0001179110-19-001704
DIGI INTERNATIONAL INC · DGII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian G. Ballenger
Officer — VP Fin, Acting PFO & PAO
Period of report
Feb 6, 2019
Accepted (ET)
Feb 11, 2019 · 4:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000854775
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 13,260 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $8.03 | holding | — | — | — | — | Nov 24, 2019 | Common Stock | 2,000 | — | D |
| Employee Stock Option (right to buy)F2 | $10.63 | holding | — | — | — | — | Nov 22, 2021 | Common Stock | 2,000 | — | D |
| Employee Stock Option (right to buy)F2 | $9.35 | holding | — | — | — | — | Nov 20, 2022 | Common Stock | 750 | — | D |
| Employee Stock Option (right to buy)F2 | $10.81 | holding | — | — | — | — | Nov 20, 2021 | Common Stock | 2,000 | — | D |
| Employee Stock Option (right to buy)F2 | $7.40 | holding | — | — | — | — | Nov 20, 2022 | Common Stock | 1,250 | — | D |
| Employee Stock Option (right to buy)F3 | $9.03 | holding | — | — | — | — | Jan 26, 2024 | Common Stock | 2,500 | — | D |
| Employee Stock Option (right to buy)F4 | $13.50 | holding | — | — | — | — | Nov 21, 2023 | Common Stock | 3,125 | — | D |
| Employee Stock Option (right to buy)F5 | $10.33 | holding | — | — | — | — | Nov 28, 2024 | Common Stock | 12,500 | — | D |
| Employee Stock Option (right to buy)F6 | $11.23 | holding | — | — | — | — | Dec 6, 2025 | Common Stock | 12,500 | — | D |
Explanation of responses
- F1Includes 11,530 Restricted Stock Units that are subject to the terms and conditions set forth in the restricted stock unit award agreement and future vesting conditions.
- F2Fully vested.
- F3The option vests as to 25% of the shares on January 26, 2017 and thereafter in 36 monthly installments.
- F4The option vests as to 25% of the shares on November 21, 2017 and thereafter in 36 monthly installments.
- F5The option vests as to 25% of the shares on November 28, 2018 and thereafter in 36 monthly installments.
- F6The option vests as to 25% of the shares on December 6, 2019 and thereafter in 36 monthly installments.