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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 | ||||||||
Stock Options (right to buy) | $ 6.74 | 08/14/2017 | M | 23,600 | (4) | 02/27/2025 | Common Stock | 23,600 | $ 6.74 | 150,285 | D | ||||
Stock Options (right to buy) | $ 6.74 | 08/15/2017 | M | 38,221 | (4) | 02/27/2025 | Common Stock | 38,221 | $ 6.74 | 112,064 | D | ||||
Stock Options (right to buy) | $ 6.74 | 08/16/2017 | M | 25,121 | (4) | 02/27/2025 | Common Stock | 25,121 | $ 6.74 | 86,943 | D | ||||
Stock Options (right to buy) | $ 8.82 | 08/16/2017 | M | 47,959 | (5) | 02/26/2026 | Common Stock | 47,959 | $ 8.82 | 87,457 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOWELL J MARK ANGIE'S LIST, INC. 1030 EAST WASHINGTON STREET INDIANAPOLIS, IN 46202 |
Chief Operating Officer |
/s/ Shannon M. Shaw, as Attorney-in-fact | 08/16/2017 | |
**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) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.77 to $11.95, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within ranges set forth in this Form 4. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $11.62, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within ranges set forth in this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $11.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within ranges set forth in this Form 4. |
(4) | On February 27, 2015, Mr. Howell was granted 173,885 stock options, 43,471 of which vested on each of February 27, 2016 and February 27, 2017. The remaining 86,943 unvested stock options outstanding under this grant will vest ratably in annual installments on the third and fourth anniversaries of the grant date. |
(5) | On February 26, 2016, Mr. Howell was granted 135,416 stock options, 33,854 of which vested on February 26, 2017. Following the first anniversary of the grant date, the remaining unvested stock options outstanding began vesting ratably on a monthly basis, resulting in the vesting of an additional 14,105 stock options through July 26, 2017. The remaining 87,457 unvested stock options outstanding under this grant will continue to vest ratably on a monthly basis through February 26, 2020. |