Filing Details
- Accession Number:
- 0001509432-16-000217
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-22 20:14:53
- Reporting Period:
- 2016-11-20
- Filing Date:
- 2016-11-22
- Accepted Time:
- 2016-11-22 20:14:53
- SEC Url:
- Form 4 Filing
Issuer
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1627627 | H Robert Heath | C/O Rpx Corporation One Market Plaza, Steuart Tower Ste. 800 San Francisco CA 94105 | Chief Financial Officer, Svp | 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 | 2016-11-20 | 19,374 | $0.00 | 88,527 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-20 | 7,284 | $10.63 | 81,243 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-11-22 | 4,000 | $10.60 | 77,243 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2016-11-20 | 9,374 | $0.00 | 9,374 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-20 | 2,500 | $0.00 | 2,500 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-20 | 3,750 | $0.00 | 3,750 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2016-11-20 | 3,750 | $0.00 | 3,750 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,376 | 2013-05-20 | No | 4 | M | Direct | |
| 12,500 | 2014-05-20 | No | 4 | M | Direct | |
| 33,750 | 2015-05-20 | No | 4 | M | Direct | |
| 48,750 | 2016-05-20 | No | 4 | M | Direct |
Footnotes
- The price reported in column 4 is the weighted average price. The shares were sold in multiple transactions ranging from $10.59 to $10.61, inclusive. The reporting person hereby undertakes to provide to the SEC staff, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. The units were awarded at no cost to Reporting Person.
- This represents two (2) awards of 75,000 restricted stock units, totaling 150,000 restricted stock units. 6.25% of the stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20.
- 6.25% of the 40,000 stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20.
- 6.25% of the 60,000 stock units subject to the award vest on this date and 6.25% of the shares subject to the award vest in equal quarterly installments thereafter, provided that Reporting Person remains in continuous service through each vest date. The quarterly vest dates are February 20, May 20, August 20 and November 20.
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