11/06/2024 | Press release | Distributed by Public on 11/06/2024 15:19
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Russo Carl C/O CALIX, INC. 2777 ORCHARD PARKWAY SAN JOSE, CA 95134 |
X | X |
/s/ Tom Gemetti as Attorney-in-Fact for Carl Russo | 11/06/2024 |
**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 sale price. These shares were sold in multiple transactions at prices ranging from $35.13 to $35.665, inclusive. Full information on the number of shares sold at each sale price is available upon request. |
(2) | In the Form 4 filed for the reporting person on August 5, 2024, 25,000 shares sold by The Crescentico Trust, Carl Russo, Trustee were mistakenly deducted from the direct holdings of the reporting person rather than from The Crescentico Trust, Carl Russo, Trustee. The shares held by the reporting person and The Crescentico Trust, Carl Russo, Trustee have been corrected in this Form 4. |
(3) | Shares held by The Crescentico Trust, Carl Russo, Trustee. |
(4) | Shares held by Equanimous Investments. The managing members of Equanimous Investments are Carl Russo and Tim Pasquinelli. These individuals may be deemed to have shared voting and investment power over the shares held by Equanimous Investments. Each of these individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
Remarks: Sales reported on the Form 4 were effected pursuant to a previously established Rule 10b5-1 trading plan. |