SEC Form 4 · accession 0000899243-18-022055
ZIX CORP · ZIXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Robert C Hausmann
Director
Period of report
Aug 8, 2018
Accepted (ET)
Aug 10, 2018 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000855612
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | Aug 8, 2018 | M | 3,075 | $4.96 | A | 71,285 | D | |
| Common | Aug 8, 2018 | M | 3,852 | $3.61 | A | 75,137 | D | |
| Common | Aug 8, 2018 | M | 5,000 | $2.40 | A | 80,137 | D | |
| Common | Aug 8, 2018 | M | 5,000 | $2.46 | A | 85,137 | D | |
| Common | Aug 8, 2018 | M | 36,000 | $1.76 | A | 121,137 | D | |
| CommonF1 | Aug 8, 2018 | S | 52,927 | $5.6599 | D | 68,210 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF2 | $4.96 | Aug 8, 2018 | M | 3,075 | D | — | Feb 12, 2027 | Common Stock | 3,075 | 49,852 | D |
| Common Stock OptionF3 | $3.61 | Aug 8, 2018 | M | 3,852 | D | — | Feb 17, 2026 | Common Stock | 3,852 | 46,000 | D |
| Common Stock OptionF4 | $2.40 | Aug 8, 2018 | M | 5,000 | D | — | Jun 6, 2020 | Common Stock | 5,000 | 41,000 | D |
| Common Stock OptionF5 | $2.46 | Aug 8, 2018 | M | 5,000 | D | — | Apr 8, 2020 | Common Stock | 5,000 | 36,000 | D |
| Common Stock OptionF6 | $1.76 | Aug 8, 2018 | M | 36,000 | D | — | Jan 3, 2020 | Common Stock | 36,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.65 to $5.66. The reporting person undertakes to provide to Zix Corporation, any security holder of Zix Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F2Grant of 3,075 options on February 13, 2017 vested quarterly and pro-rata over one year. These options expire February 12, 2027.
- F3Grant of 3,852 options on February 18, 2016 vested quarterly and pro-rata over one year. These options expire February 17, 2026.
- F4Grant of 5,000 options on June 7, 2010 vested quarterly and pro-rata over one year. These options expire June 6, 2020.
- F5Grant of 5,000 options on April 9, 2010 vested quarterly and pro-rata over one year. These options expire April 8, 2020.
- F6Grant of 36,000 options on January 4, 2010 vested quarterly and pro-rata over one year. These options expire January 3, 2020.