Filing Details

Accession Number:
0001406666-13-000100
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-04 19:00:21
Reporting Period:
2013-12-02
Filing Date:
2013-12-04
Accepted Time:
2013-12-04 19:00:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1406666 Calix Inc (CALX) Communications Services, Nec (4899) 680438710
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1483757 Carl Russo C/O Calix, Inc.
1035 N. Mcdowell Blvd.
Petaluma CA 94954
President & Ceo Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-12-02 25,000 $9.89 3,419,289 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,239,188 Indirect See Footnote
Common Stock 284,653 Indirect See Footnote
Common Stock 275,633 Indirect See Footnote
Footnotes
  1. Sale reported on the Form 4 was effected pursuant to a previously established Rule 10b5-1 trading plan.
  2. The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $9.69 to $10.18, inclusive. Full information on the number of shares sold at each sale price is available upon request.
  3. Includes 280,000 restricted stock units.
  4. Shares held by The Crescentico Trust, Carl Russo, Trustee.
  5. Shares held by Calgrat Partners, L.P. The managing partner of Calgrat Partners, L.P. is Tim Pasquinelli. Carl Russo and Tim Pasquinelli may be deemed to have shared voting and investment power over the shares held by Calgrat Partners, L.P. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
  6. Shares held by Equanimous Investments. The managing members of Equanimous Investments are Carl Russo and Tim Pasquinelli. These individuals may be deemed to have shared voting and investment power over the shares held by Equanimous Investments. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interst therein.