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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 1.16 | 06/01/2018 | M | 65,000 | (3) | 04/27/2022 | Class B Common Stock | 65,000 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 17.85 | 06/01/2018 | M | 25,000 | (4) | 04/02/2024 | Class B Common Stock | 25,000 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $ 14.05 | 06/01/2018 | M | 29,687 | (5) | 01/02/2025 | Class B Common Stock | 29,687 | $ 0 | 0 (6) | D | ||||
Employee Stock Option (right to buy) | $ 17.52 | 06/01/2018 | M | 14,843 | (5) | 06/18/2025 | Class A Common Stock | 14,843 | $ 0 | 0 (6) | D | ||||
Class B Common Stock | (7) | 06/01/2018 | M | 65,000 | (7) | (7) | Class A Common Stock | 65,000 | $ 0 | 80,492 | D | ||||
Class B Common Stock | (7) | 06/01/2018 | M | 25,000 | (7) | (7) | Class A Common Stock | 25,000 | $ 0 | 105,492 | D | ||||
Class B Common Stock | (7) | 06/01/2018 | M | 29,687 | (7) | (7) | Class A Common Stock | 29,687 | $ 0 | 135,179 | D | ||||
Class B Common Stock | (7) | 06/01/2018 | C | 65,000 | (7) | (7) | Class A Common Stock | 65,000 | $ 0 | 70,179 | D | ||||
Class B Common Stock | (7) | 06/01/2018 | C | 25,000 | (7) | (7) | Class A Common Stock | 25,000 | $ 0 | 45,179 | D | ||||
Class B Common Stock | (7) | 06/01/2018 | C | 29,687 | (7) | (7) | Class A Common Stock | 29,687 | $ 0 | 15,492 | D | ||||
Class B Common Stock | (7) | 06/01/2018 | C | 15,492 | (7) | (7) | Class A Common Stock | 15,492 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McGoff Peter M 900 JEFFERSON AVE REDWOOD CITY, CA 94063 |
Chief Legal Officer |
/s/ Peter McGoff | 06/05/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This number reflects the cancellation of unvested RSUs in connection with the Reporting Person's departure from Box, Inc., as reported in the Form 8-K that was filed with the SEC on 5/8/2018. |
(2) | This sale price represents the weighted average sale price of the shares sold ranging from $25.99 to $26.51 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. |
(3) | All of this option grant's shares became fully exercisable as of 4/23/2016. |
(4) | All of this option grant's shares became fully exercisable as of 02/01/18. |
(5) | One fourth of the shares subject to the option vested on March 20, 2016 and one forty-eighth of the shares vest monthly thereafter, provided that the Reporting Person was a Service Provider as of each vesting date. |
(6) | This number reflects the cancellation of unvested options in connection with the Reporting Person's departure from Box, Inc., as reported in the Form 8-K that was filed with the SEC on 5/8/2018. |
(7) | Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. |