SEC Form 4/A · accession 0001209191-18-048234
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
Dave Robertson
Officer — Vice President
Period of report
Feb 18, 2018
Accepted (ET)
Aug 23, 2018 · 5:14 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 Stock | Feb 18, 2018 | F | 1,977 | $4.16 | D | 128,340 | D | |
| Common StockF1 | Feb 19, 2018 | M | 6,667 | — | A | 135,007 | D | |
| Common Stock | Feb 19, 2018 | F | 1,924 | $4.16 | D | 133,083 | D | |
| Common Stock | Feb 20, 2018 | F | 812 | $4.10 | D | 132,271 | D | |
| Common Stock | Feb 20, 2018 | F | 1,624 | $4.10 | D | 130,647 | D | |
| Common StockF1 | Feb 20, 2018 | M | 6,666 | — | A | 137,313 | D | |
| Common StockF2 | Feb 20, 2018 | F | 1,564 | $4.10 | D | 135,749 | D | |
| Common Stock | Feb 20, 2018 | F | 2,345 | $4.10 | D | 133,404 | 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 UnitsF3,F1,F2 | — | Feb 19, 2018 | M | 6,667 | D | — | — | Common Stock | 6,667 | 266,666 | D |
| Restricted Stock UnitsF3,F1,F2 | — | Feb 20, 2018 | M | 6,666 | D | — | — | Common Stock | 6,666 | 260,000 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") coverts into a share of common stock on a one-for-one basis.
- F2Granted under the Amended and Restated 2012 Incentive Plan (as amended, the "Plan") on February 19, 2015. The 40,000 RSU grant consists of 50% RSUs that will vest pro-rata over 3 years and 50% that will vest pro-rata up to 1/3 each year the Company meets approved performance goals in 2015-2017, subject to acceleration under conditions described in the Plan.
- F3This Form 4/A amends the Form 4 filed by the Reporting Person on February 22, 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 for in Table II should have been reported as set forth in column 9 of Table II of this Form 4/A.