Filing Details
- Accession Number:
- 0001209191-16-143643
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-03 16:43:15
- Reporting Period:
- 2016-09-29
- Filing Date:
- 2016-10-03
- Accepted Time:
- 2016-10-03 16:43:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1420800 | Colfax Corp | CFX | Pumps & Pumping Equipment (3561) | 541887631 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1502389 | Lynne A. Puckett | 420 National Business Parkway 5Th Floor Annapolis Junction MD 20701 | Svp, Gc & Secretary | No | Yes | No | 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, Par Value $.001 | Acquisiton | 2016-09-29 | 1 | $14.48 | 20,370 | No | 4 | M | Direct | |
| Common Stock, Par Value $.001 | Disposition | 2016-09-29 | 1 | $31.00 | 20,369 | No | 4 | S | Direct | |
| Common Stock, Par Value $.001 | Acquisiton | 2016-09-30 | 21,036 | $14.48 | 41,405 | No | 4 | M | Direct | |
| Common Stock, Par Value $.001 | Disposition | 2016-09-30 | 21,036 | $31.00 | 20,369 | No | 4 | S | Direct | |
| Common Stock, Par Value $.001 | Acquisiton | 2016-10-03 | 8,098 | $14.48 | 28,467 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $.001 | Employee Stock Option (right to buy) | Disposition | 2016-09-29 | 1 | $0.00 | 1 | $14.48 |
| Common Stock, Par Value $.001 | Employee Stock Option (right to buy) | Disposition | 2016-09-30 | 21,036 | $0.00 | 21,036 | $14.48 |
| Common Stock, Par Value $.001 | Employee Stock Option (right to buy) | Disposition | 2016-10-03 | 8,098 | $0.00 | 8,098 | $14.48 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 29,134 | 2017-09-26 | No | 4 | M | Direct | |
| 8,098 | 2017-09-26 | No | 4 | M | Direct | |
| 0 | 2017-09-26 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $.001 | 1,111 | Indirect | By spouse |
Footnotes
- The exercise and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan (the "10b5-1 Plan") adopted by the reporting person on September 8, 2016. The 10b5-1 Plan provided for the exercise of this option tranche, which expires in September 2017, with corresponding sales to cover the exercise price and related taxes. The remaining underlying shares following this net exercise and tax sale continue to be held by the reporting person.
- The option vested in three equal annual installments beginning on September 27, 2011.
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