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
- Sale reported on the Form 4 was effected pursuant to a previously established Rule 10b5-1 trading plan.
- 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.
- Includes 280,000 restricted stock units.
- Shares held by The Crescentico Trust, Carl Russo, Trustee.
- 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.
- 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.