4//SEC Filing
FINZI ROBERT 4
Accession 0001181431-10-018848
CIK 0001406666other
Filed
Mar 29, 8:00 PM ET
Accepted
Mar 30, 8:27 PM ET
Size
53.1 KB
Accession
0001181431-10-018848
Insider Transaction Report
Form 4
CALIX, INCCALX
FINZI ROBERT
Director
Transactions
- Other
Common Stock
2010-03-02+2,517→ 2,521 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+159,424→ 982,618 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+3,251→ 3,254 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+630→ 3,884 total(indirect: See Footnotes) - Conversion
Series H Preferred Stock
2010-03-26−28,484→ 0 total(indirect: See Footnotes)→ Common Stock (32,841 underlying) - Conversion
Series J Preferred Stock
2010-03-26−1,912→ 0 total(indirect: See Footnotes)→ Common Stock (1,912 underlying) - Conversion
Series J Preferred Stock
2010-03-26−159,424→ 0 total(indirect: See Footnotes)→ Common Stock (159,424 underlying) - Conversion
Series J Preferred Stock
2010-03-26−972→ 0 total(indirect: See Footnotes)→ Common Stock (972 underlying) - Conversion
Common Stock
2010-03-26+9,868→ 12,389 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+1,912→ 14,301 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+6,362→ 39,228 total(indirect: See Footnotes) - Conversion
Series H Preferred Stock
2010-03-26−8,559→ 0 total(indirect: See Footnotes)→ Common Stock (9,868 underlying) - Conversion
Series H Preferred Stock
2010-03-26−713,678→ 0 total(indirect: See Footnotes)→ Common Stock (822,869 underlying) - Conversion
Series H Preferred Stock
2010-03-26−4,350→ 0 total(indirect: See Footnotes)→ Common Stock (5,014 underlying) - Conversion
Series J Preferred Stock
2010-03-26−6,362→ 0 total(indirect: See Footnotes)→ Common Stock (6,362 underlying) - Conversion
Common Stock
2010-03-26+32,841→ 32,866 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+822,869→ 823,194 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+5,014→ 5,014 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+972→ 5,986 total(indirect: See Footnotes) - Conversion
Series H Preferred Stock
2010-03-26−2,821→ 0 total(indirect: See Footnotes)→ Common Stock (3,251 underlying) - Conversion
Series J Preferred Stock
2010-03-26−630→ 0 total(indirect: See Footnotes)→ Common Stock (630 underlying)
Holdings
- 25(indirect: See Footnotes)
Common Stock
- 325(indirect: See Footnotes)
Common Stock
- 3(indirect: See Footnotes)
Common Stock
Footnotes (15)
- [F1]Includes 3,776 shares of Common Stock issued upon the exercise of options granted to Wayne Nemeth as a director under the Issuer's incentive plan. Pursuant to an agreement with Credit Suisse Private Equity, Inc., all shares held by Mr. Nemeth were held for the benefit of DLJ Capital Corporation and were transferred to it on March 2, 2010 for no consideration. For purposes of this Form 4, the number of shares of Common Stock has been adjusted to reflect a 2-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (the "Reverse Stock Split").
- [F10]Shares held by Sprout IX Plan Investors, L.P.
- [F11]The shares are immediately convertible.
- [F12]The shares do not have an expiration date.
- [F13]The members of the investment committee representing Sprout Capital IX, L.P., DLJ ESC II, L.P., DLJ Capital Corporation, Sprout IX Plan Investors, L.P. and Sprout Entrepreneurs Fund L.P. (collectively, the "Sprout Funds") have voting and dispositive power over the shares held by the Sprout Funds. The investment committee consists of Robert Finzi, Janet Hickey, Kathleen LaPorte, Philippe Chambon and Nicole Arnaboldi. Each of Ms. Arnaboldi, Ms. Hickey, Ms. LaPorte and Messrs. Finzi and Chambon disclaim beneficial ownership of the shares held by the Sprout Funds, except to the extent of her or his pecuniary interest therein.
- [F14]DLJ Capital Corporation is the managing general partner of Sprout Capital IX, L.P. and the general partner of Sprout Entrepreneurs Fund, L.P. DLJ LBO Plans Management Corporation is the general partner of DLJ ESC II, L.P. DLJ LBO Plans Management Corporation II is the general partner of Sprout IX Plan Investors, L.P. DLJ LBO Plans Management Corporation, DLJ LBO Plans Management Corporation II and DLJ Capital Corporation are each wholly owned subsidiaries of Credit Suisse (USA) Inc., or CS-USA.
- [F15]Credit Suisse, a Swiss bank, owns the majority of the voting stock of Credit Suisse Holdings (USA), Inc., which in turn owns all of the voting stock of CS-USA. The entities discussed above are private equity funds managed by indirect subsidiaries of CS-USA and form part of Credit Suisse's asset management business. The ultimate parent company of Credit Suisse is Credit Suisse Group AG, or CSG. CSG disclaims beneficial ownership of the reported that are beneficially owned by its direct and indirect subsidiaries.
- [F2]As of March 2, 2010, DLJ Capital Corporation owned an aggregate of 3,784 shares of Common Stock. For purposes of this Form 4, the number of shares of Common Stock reported as beneficially owned following this transaction has been adjusted to reflect the Reverse Stock Split.
- [F3]Shares held by DLJ Capital Corporation.
- [F4]Reflects the Reverse Stock Split effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement.
- [F5]Each share of Series H Preferred Stock was automatically converted on a 1.153-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F6]Each share of Series J Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F7]Shares held by DLJ ESC II, L.P.
- [F8]Shares held by Sprout Capital IX, L.P.
- [F9]Shares held by Sprout Entrepreneur's Fund L.P.
Documents
Issuer
CALIX, INC
CIK 0001406666
Entity typeother
Related Parties
1- filerCIK 0001196195
Filing Metadata
- Form type
- 4
- Filed
- Mar 29, 8:00 PM ET
- Accepted
- Mar 30, 8:27 PM ET
- Size
- 53.1 KB