Carbonite Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-15: Reporting owner FRIEND DAVID; Form 4; Security Call Options (Obligation to Sell); Transaction S Open market or private sale of non-derivative or derivative security.
- 2016-11-02: Reporting owner HUDSON CASSANDRA; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-28: Reporting owner HUDSON CASSANDRA; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-09-23: Reporting owner HUDSON CASSANDRA; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-15 | FRIEND DAVID Director | 4 | Call Options (Obligation to Sell) Derivative · Indirect · By Trust | S Open market or private sale of non-derivative or derivative security | −300 300 owned after | $100.00 | 2016-11-18 | |
| 2016-11-02 | HUDSON CASSANDRA Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −625 1,250 owned after | $10.32 | 2016-11-03 | |
| 2016-10-28 | HUDSON CASSANDRA Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,564 12,499 owned after | $10.40 | 2016-11-01 | |
| 2016-09-23 | HUDSON CASSANDRA Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,937 14,063 owned after | $10.40 | 2016-09-27 | |
| 2016-09-23 | HUDSON CASSANDRA Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,125 1,875 owned after | $10.32 | 2016-09-27 | |
| 2016-08-02 | HUDSON CASSANDRA Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,187 0 owned after | $10.00 | 2016-08-03 | |
| 2016-08-02 | HUDSON CASSANDRA Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $10.26 | 2016-08-03 |