SEC Form 4/A · accession 0001209191-18-054964
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 26, 2018
Accepted (ET)
Oct 15, 2018 · 4:20 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 StockF1,F2 | Feb 26, 2018 | A | 40,000 | $0.00 | A | 173,405 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant under the Amended and Restated 2012 Incentive Plan (as amended, the "Plan") consists of 75% restricted stock that will vest pro-rata annually over 3 years and 25% restricted stock that will vest pro-rata up to 1/3 each year the Company achieves specific performance criteria in 2018-2020, subject to acceleration under conditions described in the Plan.
- F2This Form 4/A amends the Form 4 filed by the Reporting Person on February 28, 2018. The amount of securities should have been reported as 173,405 shares of common stock directly beneficially owned by the Reporting Person. The incorrect report was due to a clerical rounding error from a Form 4 filed February 22, 2017 that was carried through subsequent Form 4 filings. The February 22, 2017 Form 4 mistakenly underreported a single security. Column 4 in Table I should have reported 6,667 securities acquired, and Column 5 in Table I should have reported 192,424 amount of securities beneficially owned. In addition, Column 5 in Table II should have reported 6,667 derivative securities disposed of, Column 7 in Table II should have reported amount of shares as 6,667, and Column 9 Table II should have reported 13,335 derivative securities beneficially owned.