Filing Details
- Accession Number:
- 0001209191-16-148664
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-07 16:56:58
- Reporting Period:
- 2016-11-04
- Filing Date:
- 2016-11-07
- Accepted Time:
- 2016-11-07 16:56:58
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1415336 | Zeltiq Aesthetics Inc | ZLTQ | Electromedical & Electrotherapeutic Apparatus (3845) | 270119051 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1417973 | J Keith Sullivan | C/O Zeltiq Aesthetics, Inc. 4698 Willow Road, Suite 100 Pleasanton CA 94588 | Cco, President, North America | 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 | Acquisiton | 2016-11-04 | 8,000 | $6.21 | 82,023 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-04 | 8,000 | $33.01 | 74,023 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2016-11-06 | 1,048 | $34.06 | 72,975 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2016-11-04 | 8,000 | $0.00 | 8,000 | $6.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 90,000 | 2022-10-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,000 | Indirect | By Keith J Sullivan (IRA) FCC as custodian |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.63 to $33.32, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- Represents the number of shares withheld by and surrendered to the Issuer to satisfy the tax withholding obligation that arose in connection with the vesting of the Restricted Stock Units ("RSUs"). The RSUs for 10,000 shares vest in four equal annual installments beginning on the first anniversary of November 6, 2014.
- 25% of the total number of shares subject to the option vested on October 4, 2013, and the remainder vest in equal monthly installments over a 36 month period thereafter, subject to the Reporting Person's continued service to the Issuer.
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