SEC Form 4/A · accession 0001209191-18-048232
ZIX CORP · ZIXI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert C Hausmann
Director
Period of report
Aug 8, 2018
Accepted (ET)
Aug 23, 2018 · 5:13 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 OptionF3,F2 | $4.96 | Aug 8, 2018 | M | 3,075 | D | — | Feb 12, 2027 | Common Stock | 3,075 | 63,713 | D |
| Common Stock OptionF3,F4 | $3.61 | Aug 8, 2018 | M | 3,852 | D | — | Feb 17, 2026 | Common Stock | 3,852 | 59,861 | D |
| Common Stock OptionF3,F5 | $2.40 | Aug 8, 2018 | M | 5,000 | D | — | Jun 6, 2020 | Common Stock | 5,000 | 54,861 | D |
| Common Stock OptionF3,F6 | $2.46 | Aug 8, 2018 | M | 5,000 | D | — | Apr 8, 2020 | Common Stock | 5,000 | 49,861 | D |
| Common Stock OptionF3,F7 | $1.76 | Aug 8, 2018 | M | 36,000 | D | — | Jan 3, 2020 | Common Stock | 36,000 | 13,861 | 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.
- F3This Form 4/A amends the Form 4 filed by the Reporting Person on August 9, 2018. The amount of securities directly beneficially owned by the Reporting Person has been historically reported incorrectly and the resulting amount of derivative securities beneficially owned following each of the transactions set forth in Table II should have been reported as set forth in column 9 of Table II of this Form 4/A.
- F4Grant of 3,852 options on February 18, 2016 vested quarterly and pro-rata over one year. These options expire February 17, 2026.
- F5Grant of 5,000 options on June 7, 2010 vested quarterly and pro-rata over one year. These options expire June 6, 2020.
- F6Grant of 5,000 options on April 9, 2010 vested quarterly and pro-rata over one year. These options expire April 8, 2020.
- F7Grant of 36,000 options on January 4, 2010 vested quarterly and pro-rata over one year. These options expire January 3, 2020.