Mimecast Ltd Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 259 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-04-01: Reporting owner DiMarino Dino; Form 4; Security Restricted Share Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-04-01: Reporting owner Paisley Michael; Form 4; Security Restricted Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-04-01: Reporting owner Bentley Heather; Form 4; Security Restricted Share Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-04-01: Reporting owner Bentley Heather; Form 4; Security Restricted Share Units; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-04-01 | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,290 22,469 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | Paisley Michael Officer (Chief Security & Res. Officer) | 4 | Restricted Share Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,403 10,403 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Bentley Heather Officer (SVP, Customer Success & Supp.) | 4 | Restricted Share Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,239 12,239 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Bentley Heather Officer (SVP, Customer Success & Supp.) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −528 3,965 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | Bentley Heather Officer (SVP, Customer Success & Supp.) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −595 3,370 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | Brown Rafeal E. Officer (Chief Financial Officer) | 4 | Restricted Share Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,167 39,167 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Brown Rafeal E. Officer (Chief Financial Officer) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −3,659 33,841 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | Brown Rafeal E. Officer (Chief Financial Officer) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,841 25,000 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | Brown Rafeal E. Officer (Chief Financial Officer) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −2,528 31,923 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | Brown Rafeal E. Officer (Chief Financial Officer) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,084 25,839 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | Anderson Karen M. Officer (Chief Human Resources Officer) | 4 | Restricted Share Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,239 12,239 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Anderson Karen M. Officer (Chief Human Resources Officer) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −935 11,797 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | Anderson Karen M. Officer (Chief Human Resources Officer) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,248 9,549 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | NAULT ROBERT P Officer (Sr. Vice President and GC) | 4 | Restricted Share Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,239 12,239 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | NAULT ROBERT P Officer (Sr. Vice President and GC) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −812 7,438 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | NAULT ROBERT P Officer (Sr. Vice President and GC) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,938 5,500 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | NAULT ROBERT P Officer (Sr. Vice President and GC) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,099 13,880 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | NAULT ROBERT P Officer (Sr. Vice President and GC) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,645 11,235 owned after | no price filed | 2021-04-05 | |
| 2021-04-01 | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,318 12,182 owned after | $40.85 | 2021-04-05 | |
| 2021-04-01 | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,182 9,000 owned after | no price filed | 2021-04-05 | |
| 2021-03-22 holding as of filing | Murray Neil Director | 4 | Restricted Share Units Non-derivative · Direct | Holding | 3,720 owned after | no price filed | 2021-03-22 | |
| 2021-03-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 3,750 owned after | no price filed | 2021-03-17 | |
| 2021-03-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 11,250 owned after | no price filed | 2021-03-17 | |
| 2021-03-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 11,250 owned after | no price filed | 2021-03-17 | |
| 2021-03-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 29,958 owned after | no price filed | 2021-03-17 | |
| 2021-03-17 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 4,500 owned after | no price filed | 2021-03-17 | |
| 2021-03-17 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 13,500 owned after | no price filed | 2021-03-17 | |
| 2021-03-09 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 4,500 owned after | no price filed | 2021-03-09 | |
| 2021-03-09 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 13,500 owned after | no price filed | 2021-03-09 | |
| 2021-02-19 holding as of filing | Murray Neil Director | 4 | Restricted Share Units Non-derivative · Direct | Holding | 3,720 owned after | no price filed | 2021-02-19 | |
| 2021-02-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 1,650 owned after | no price filed | 2021-02-19 | |
| 2021-02-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 850 owned after | no price filed | 2021-02-19 | |
| 2021-02-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 8,250 owned after | no price filed | 2021-02-19 | |
| 2021-02-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 29,958 owned after | no price filed | 2021-02-19 | |
| 2021-02-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 3,750 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 11,250 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 11,250 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 29,958 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 4,500 owned after | no price filed | 2021-02-17 | |
| 2021-02-17 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 13,500 owned after | no price filed | 2021-02-17 | |
| 2021-02-09 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 4,500 owned after | no price filed | 2021-02-09 | |
| 2021-02-09 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 13,500 owned after | no price filed | 2021-02-09 | |
| 2021-02-03 holding as of filing | Anderson Karen M. Officer (Chief Human Resources Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 12,732 owned after | no price filed | 2021-02-03 | |
| 2021-02-01 | Anderson Karen M. Officer (Chief Human Resources Officer) | 4 | Restricted Share Units Non-derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −1,952 16,798 owned after | $44.45 | 2021-02-03 | |
| 2021-02-01 | Anderson Karen M. Officer (Chief Human Resources Officer) | 4 | Restricted Share Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,298 12,500 owned after | no price filed | 2021-02-03 | |
| 2021-01-19 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 4,500 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 13,500 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | Murray Neil Director | 4 | Restricted Share Units Non-derivative · Direct | Holding | 3,720 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 1,650 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 850 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 8,250 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | WALSH JOHN J JR Officer (Sr. Vice Pres., Engineering) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 29,958 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 3,750 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 11,250 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 11,250 owned after | no price filed | 2021-01-19 | |
| 2021-01-19 holding as of filing | DiMarino Dino Officer (Chief Revenue Officer) | 4 | Restricted Share Units Non-derivative · Direct | Holding | 29,958 owned after | no price filed | 2021-01-19 | |
| 2021-01-11 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 4,500 owned after | no price filed | 2021-01-11 | |
| 2021-01-11 holding as of filing | Bauer Peter Director, Officer (Chief Executive Officer) | 4 | Restricted Share Units Non-derivative · Direct · (m) | Holding | 13,500 owned after | no price filed | 2021-01-11 | |
| 2021-01-04 | Auriol Potier Helene Director | 4 | Restricted Share Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,700 3,700 owned after | $0.00 | 2021-01-06 |