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BOX INC — Director's Dealing 2015
Jan 30, 2015
31068_dirs_2015-01-29_7f593202-6a3a-4d6c-84fd-df871bae9f65.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BOX INC (BOX)
CIK: 0001372612
Period of Report: 2015-01-28
Reporting Person: Smith Dylan C (Director, Chief Financial Officer, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-01-28 | Existing Class A Common Stock | J | 1316545 | — | Disposed | 0 | Direct |
| 2015-01-28 | Existing Class A Common Stock | J | 85000 | — | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-01-28 | Class B Common Stock | $ | J | 1316545 | Acquired | Class A Common Stock (1316545) | Direct | |
| 2015-01-28 | Class B Common Stock | $ | J | 85000 | Acquired | Class A Common Stock (85000) | Indirect | |
| 2015-01-28 | Employee Stock Option (right to buy) | $0.59 | J | 17362 | Disposed | 2021-04-06 | Existing Class A Common Stock (17362) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $0.59 | J | 17362 | Acquired | 2021-04-06 | Class B Common Stock (17362) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | C | 240000 | Disposed | 2022-03-31 | Existing Class B Common Stock (240000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | C | 240000 | Acquired | 2022-03-31 | Existing Class A Common Stock (240000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | J | 240000 | Disposed | 2022-03-31 | Existing Class A Common Stock (240000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | J | 240000 | Acquired | 2022-03-31 | Class B Common Stock (240000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | C | 140000 | Disposed | 2022-03-31 | Existing Class B Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | C | 140000 | Acquired | 2022-03-31 | Existing Class A Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | J | 140000 | Disposed | 2022-03-31 | Existing Class A Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $1.16 | J | 140000 | Acquired | 2022-03-31 | Class B Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $4.63 | C | 140000 | Disposed | 2023-02-06 | Existing Class B Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $4.63 | C | 140000 | Acquired | 2023-02-06 | Existing Class A Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $4.63 | J | 140000 | Disposed | 2023-02-06 | Existing Class A Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $4.63 | J | 140000 | Acquired | 2023-02-06 | Class B Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $17.85 | C | 140000 | Disposed | 2024-04-02 | Existing Class B Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $17.85 | C | 140000 | Acquired | 2024-04-02 | Existing Class A Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $17.85 | J | 140000 | Disposed | 2024-04-02 | Existing Class A Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $17.85 | J | 140000 | Acquired | 2024-04-02 | Class B Common Stock (140000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $14.05 | C | 120000 | Disposed | 2025-01-01 | Existing Class B Common Stock (120000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $14.05 | C | 120000 | Acquired | 2025-01-01 | Existing Class A Common Stock (120000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $14.05 | J | 120000 | Disposed | 2025-01-01 | Existing Class A Common Stock (120000) | Direct |
| 2015-01-28 | Employee Stock Option (right to buy) | $14.05 | J | 120000 | Acquired | 2025-01-01 | Class B Common Stock (120000) | Direct |
Footnotes
F1: Immediately prior to the closing of the Issuer's initial public offering and following the conversion of the Issuer's existing Class B Common Stock ("Existing Class B Common Stock") into the Issuer's existing Class A Common Stock ("Existing Class A Common Stock"), each share of Existing Class A Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
F2: The shares are held of record by the DCS GRAT of 2014, for which the Reporting Person serves as trustee.
F3: 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.
F4: The shares subject to the option are fully vested and exercisable.
F5: 1/36 of the shares subject to the option vested on February 1, 2012, and 1/36 of the shares vest monthly thereafter.
F6: The Existing Class B Common Stock underlying the reported option automatically converted into Existing Class A Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F7: 1/96 of the shares subject to the option vest monthly over two years beginning on February 1, 2012, and 1/32 of the shares vest monthly thereafter.
F8: 1/96 of the shares subject to the option vest monthly over two years beginning on February 1, 2013, and 1/32 of the shares vest monthly thereafter.
F9: 1/4 of the shares subject to the option vest on February 1, 2015, and 1/48 of the shares vest monthly thereafter.
F10: 1/4 of the shares subject to the option vest on March 20, 2016, and 1/48 of the shares vest monthly thereafter.