Carbonite Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-15: Reporting owner SURACE RICHARD; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-15: Reporting owner SHEER DANIELLE; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-15: Reporting owner PHELAN WILLIAM L.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-15: Reporting owner MURRAY THOMAS A.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-15 | SURACE RICHARD Officer (VP of Customer Service) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | SHEER DANIELLE Officer (General Counsel and Secretary) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | PHELAN WILLIAM L. Officer (VP of Product) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | MURRAY THOMAS A. Officer (VP of Marketing) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | LAMSON PETER Officer (SVP and GM, Small Business) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | KEENAN ANDREW Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | FRIEND DAVID Director, Officer (CEO and President) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | FLOWERS JEFFRY Director, Officer (Chief Architect) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-12-15 | EL-HILALI OUSSAMA Officer (SVP Engineering) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $12.88 exercise price | 2011-12-20 | |
| 2011-11-21 | GOLIN ERIC Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 6,000 owned after | $1.31 exercise price | 2011-11-22 | |
| 2011-11-21 | GOLIN ERIC Officer (Chief Technology Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −375 4,875 owned after | $5.15 exercise price | 2011-11-22 | |
| 2011-11-14 | FRIEND DAVID Director, Officer (CEO and President) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,437 19,501 owned after | $2.64 exercise price | 2011-11-22 | |
| 2011-11-14 | FRIEND DAVID Director, Officer (CEO and President) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,313 15,750 owned after | $2.64 exercise price | 2011-11-22 | |
| 2011-11-08 | EL-HILALI OUSSAMA Officer (SVP Engineering) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $11.93 exercise price | 2011-11-10 | |
| 2011-11-07 | FRIEND DAVID Director, Officer (CEO and President) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,931 80,799 owned after | $1.31 exercise price | 2011-11-08 | |
| 2011-08-16 | VAZIRANI PRAVIN A Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-16 | SHEER DANIELLE Officer (General Counsel and Secretary) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-16 | PHELAN WILLIAM L. Officer (VP of Product) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-16 | NELSON WILLIAM G Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-16 | KRASNOW TODD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-16 | KANE CHARLES Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-16 | HROMADKO GARY Director | 4 | Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $10.00 exercise price | 2011-08-17 | |
| 2011-08-15 | FRIEND DAVID Director, Officer (CEO and President) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,438 21,938 owned after | $2.64 exercise price | 2011-09-14 | |
| 2011-08-15 | FRIEND DAVID Director, Officer (CEO and President) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,312 17,063 owned after | $2.64 exercise price | 2011-09-14 | |
| 2011-08-10 holding as of filing | SURACE RICHARD Officer (VP of Customer Service) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.15 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | SHEER DANIELLE Officer (General Counsel and Secretary) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | SHEER DANIELLE Officer (General Counsel and Secretary) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.15 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | PHELAN WILLIAM L. Officer (VP of Product) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $4.90 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | MURRAY THOMAS A. Officer (VP of Marketing) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $11.73 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | LAMSON PETER Officer (SVP and GM, Small Business) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.15 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $0.66 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $1.26 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Indirect · (m) | Holding | $1.26 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KUMARESAN SWAMI Officer (SVP and GM, Consumer) | 3 | Stock Option (right to buy) Derivative · Indirect · (m) | Holding | $11.10 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KEENAN ANDREW Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KEENAN ANDREW Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KEENAN ANDREW Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KEENAN ANDREW Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | KEENAN ANDREW Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.15 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | GOLIN ERIC Officer (Chief Technology Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | GOLIN ERIC Officer (Chief Technology Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.15 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | GOLIN ERIC Officer (Chief Technology Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $11.73 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | FRIEND DAVID Director, Officer (CEO and President) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | FRIEND DAVID Director, Officer (CEO and President) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | FRIEND DAVID Director, Officer (CEO and President) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | FLOWERS JEFFRY Director, Officer (Chief Architect) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.31 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | FLOWERS JEFFRY Director, Officer (Chief Architect) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.64 exercise price | 2011-08-10 | ||
| 2011-08-10 holding as of filing | FLOWERS JEFFRY Director, Officer (Chief Architect) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.64 exercise price | 2011-08-10 |