SEC Form 4 · accession 0001209191-17-056669
EXA CORP · EXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hudong Chen
Officer — Chief Scientific Ofc., Sr. VP
Period of report
Oct 6, 2017
Accepted (ET)
Oct 11, 2017 · 5:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000890264
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 6, 2017 | M | 5,625 | $0.00 | A | 125,481 | D | |
| Common Stock | Oct 6, 2017 | F | 1,822 | $24.22 | D | 123,659 | D | |
| Common Stock | holding | — | — | — | 6,700 | I | By daughter | |
| Common Stock | holding | — | — | — | 20,000 | I | By wife | |
| Common Stock | holding | — | — | — | 9,700 | I | By son |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Oct 6, 2017 | M | 5,625 | D | — | — | Common Stock | 5,625 | 33,750 | D |
Explanation of responses
- F1Upon vesting, each restricted stock unit converts into one share of Exa common stock.
- F2The restricted stock units vest in equal quarterly installments over two years.