GROSSER ADAM 4
4 · CALIX, INC · Filed Mar 30, 2010
Insider Transaction Report
Form 4
CALIX, INCCALX
GROSSER ADAM
Director
Transactions
- Conversion
Common Stock
2010-03-26+33,532→ 62,524 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+1,336,465→ 1,336,465 total(indirect: See Footnotes) - Conversion
Series I Preferred Stock
2010-03-26−22,834→ 0 total(indirect: See Footnotes)→ Common Stock (28,992 underlying) - Conversion
Series J Preferred Stock
2010-03-26−1,544,451→ 0 total(indirect: See Footnotes)→ Common Stock (1,544,451 underlying) - Conversion
Common Stock
2010-03-26+28,992→ 28,992 total(indirect: See Footnotes) - Conversion
Common Stock
2010-03-26+1,544,451→ 2,880,916 total(indirect: See Footnotes) - Conversion
Series I Preferred Stock
2010-03-26−1,052,339→ 0 total(indirect: See Footnotes)→ Common Stock (1,336,465 underlying) - Conversion
Series J Preferred Stock
2010-03-26−33,532→ 0 total(indirect: See Footnotes)→ Common Stock (33,532 underlying)
Footnotes (10)
- [F1]Reflects 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]The sole general partner of Foundation Capital V, LP and Foundation Capital V Principals Fund, LLC is Foundation Capital Management Co. V, LLC. The managers of Foundation Capital Management Co. V, LLC are William B. Elmore, Adam Grosser, Paul R. Holland, Paul G. Koontz, Charles P. Moldow, Richard A. Redelfs, Michael N. Schuh and Warren M. Weiss. These individuals may be deemed to have shared voting and investment power of the shares held by Foundation Capital V, LP and Foundation Capital V Principals Fund, LLC. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein.
- [F2]Each share of Series I Preferred Stock was automatically converted on a 1.27-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F3]Shares held by Foundation Capital V Principals Fund, LLC.
- [F4]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.
- [F5]Shares held by Foundation Capital V, L.P.
- [F6]Includes 22 shares, as adjusted to reflect the Reverse Stock Split (27 shares, as converted), acquired by Foundation Capital V Principals Fund, LLC on March 26, 2010 as a payment-in-kind dividend on shares of Series I Preferred Stock.
- [F7]The shares are immediately convertible.
- [F8]The shares do not have an expiration date.
- [F9]Includes 1,093 shares, as adjusted to reflect the Reverse Stock Split (1,388 shares, as converted), acquired by Foundation Capital V, L.P. on March 26, 2010 as a payment-in-kind dividend on shares of Series I Preferred Stock.