Filing Details
- Accession Number:
- 0001209191-11-044614
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-17 14:12:25
- Reporting Period:
- 2011-08-16
- Filing Date:
- 2011-08-17
- Filing Date Changed:
- 2011-08-17
- Accepted Time:
- 2011-08-17 15:12:25
- Original Submission Date:
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1340127 | Carbonite Inc | CARB | Services-Computer Processing & Data Preparation (7374) | 331111329 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1526378 | Todd Krasnow | C/o Carbonite, Inc. 177 Huntington Avenue Boston MA 02115 |
Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings |
|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-08-16 | 118,812 | $0.00 | 192,771 |
| Common Stock | Acquisiton | 2011-08-16 | 5,000 | $10.00 | 10,000 |
| Common Stock | Acquisiton | 2011-08-16 | 5,000 | $10.00 | 10,000 |
| Common Stock | Acquisiton | 2011-08-16 | 5,000 | $10.00 | 10,000 |
| Common Stock | Acquisiton | 2011-08-16 | 25,000 | $10.00 | 25,000 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Indirect | By Trust |
| No | 4 | P | Indirect | By Trust |
| No | 4 | P | Indirect | By Trust |
| No | 4 | P | Indirect | By Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2011-08-16 | 5,707 | $0.00 | 17,121 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2011-08-16 | 1,923 | $0.00 | 5,769 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2011-08-16 | 8,965 | $0.00 | 26,895 | $0.00 |
| Common Stock | Series B-2 Preferred Stock | Disposition | 2011-08-16 | 20,464 | $0.00 | 61,392 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2011-08-16 | 2,545 | $0.00 | 7,635 | $0.00 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2011-08-16 | 17,500 | $0.00 | 17,500 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 17,500 | 2021-07-12 | No | 4 | A | Direct |
Footnotes
- Each share of the Issuer's Preferred Stock converted into Common Stock on a 1:3 basis upon the closing of the Issuer's initial public offering and had no expiration date.
- These shares are owned by the Rachel L. Krasnow Trust for the benefit of the reporting person's daughter. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- These shares are owned by the Charles S. Krasnow Trust for the benefit of the reporting person's son. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- These shares are owned by the Eric J. Krasnow Trust for the benefit of the reporting person's son. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- These shares are owned by the Todd and Deborah Krasnow Charitable Remainder Trust. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- This option becomes exerciseable in 12 equal quarterly installments beginning on October 12, 2011.
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