4//SEC Filing
FINZI ROBERT 4
Accession 0001181431-10-022557
CIK 0001406666other
Filed
Apr 21, 8:00 PM ET
Accepted
Apr 22, 5:44 PM ET
Size
14.1 KB
Accession
0001181431-10-022557
Insider Transaction Report
Form 4
CALIX, INCCALX
FINZI ROBERT
Director
Transactions
- Award
Common Stock
2010-04-22+4,533→ 4,533 total - Award
Stock Option (right to buy)
2010-04-20+10,000→ 10,000 totalExercise: $14.61Exp: 2020-04-20→ Common Stock (10,000 underlying)
Holdings
- 39,228(indirect: See Footnotes)
Common Stock
- 982,618(indirect: See Footnotes)
Common Stock
- 14,301(indirect: See Footnotes)
Common Stock
- 5,986(indirect: See Footnotes)
Common Stock
- 3,884(indirect: See Footnotes)
Common Stock
Footnotes (10)
- [F1]Consists of 4,533 restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon vesting. The RSUs shall vest annually over three (3) years such that 1,511 of the RSUs will vest on April 22, 2011, 1,511 of the RSUs will vest on April 22, 2012, and the remaining 1,511 of the RSUs will vest on April 22, 2013.
- [F10]33% of the shares subject to the option will vest and become exercisable one (1) year after April 20, 2010 (the "Vesting Commencement Date"), and 1/36th of the total number of shares will vest and become exercisable in twenty-four (24) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the third anniversary of the Vesting Commencement Date.
- [F2]Shares held by DLJ Capital Corporation.
- [F3]Shares held by DLJ ESC II, L.P.
- [F4]Shares held by Sprout Capital IX, L.P.
- [F5]Shares held by Sprout Entrepreneur's Fund L.P.
- [F6]Shares held by Sprout IX Plan Investors, L.P.
- [F7]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.
- [F8]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.
- [F9]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.
Documents
Issuer
CALIX, INC
CIK 0001406666
Entity typeother
Related Parties
1- filerCIK 0001196195
Filing Metadata
- Form type
- 4
- Filed
- Apr 21, 8:00 PM ET
- Accepted
- Apr 22, 5:44 PM ET
- Size
- 14.1 KB