SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| |||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol LIFELOCK, INC. [ LOCK ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| ||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) 06/23/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
RESTRICTED STOCK UNITS | 06/23/2015 | S | 0 | D | $0 | 13,433(1) | D | |||
COMMON STOCK | 251(1) | D | ||||||||
COMMON STOCK | 06/23/2015 | F | 254(2) | D | $17.06 | 13,430 | D | |||
COMMON STOCK | 06/24/2015 | F | 119(2) | D | $17.03 | 13,311 | D | |||
COMMON STOCK | 06/24/2015 | M | 700 | A | $3.79 | 14,011 | D | |||
COMMON STOCK | 06/23/2015 | M | 600 | A | $5.2 | 14,611 | D | |||
COMMON STOCK | 06/24/2015 | S(3) | 1,300 | D | $17.09(4) | 13,311 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 Securities Underlying Derivative Security (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: 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 | ||||||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $3.79 | (5) | 02/10/2021 | COMMON STOCK | 6,030 | 6,030 | D | ||||||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $5.2 | (6) | 03/29/2022 | COMMON STOCK | 9,850 | 9,850 | D | ||||||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $11.05 | (7) | 02/22/2023 | COMMON STOCK | 24,000 | 24,000 | D | ||||||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $18.73 | (7) | 03/24/2024 | COMMON STOCK | 18,047 | 18,047 | D | ||||||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $13.96 | (7) | 03/23/2025 | COMMON STOCK | 20,052 | 20,052 | D | ||||||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $3.79 | 06/24/2015 | M | 700 | (5) | 02/10/2021 | COMMON STOCK | 700 | $0 | 5,330 | D | ||||
EMPLOYEE STOCK OPTION (RIGHT TO BUY) | $5.2 | 06/24/2015 | M | 600 | (6) | 03/29/2022 | COMMON STOCK | 600 | $0 | 9,250 | D |
Explanation of Responses: |
1. Since the date of the reporting person's last ownership report, shares of common stock, employee stock options, and restricted stock were transferred to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned, any securities owned by his ex-wife. |
2. Represents shares of common stock withheld by the Issuer to satisfy tax withholding obligations associated with the vesting of restricted stock units. |
3. The shares were sold pursuant to a 10b5-1 trading plan. |
4. The sales were effected through multiple transactions at the price of $17.09. |
5. 25% of the total number of shares underlying this option vested on January 17, 2012. The remaining shares underlying this option vested at a rate of 1/48 of the total number of shares underlying this option on the 17th day of each month thereafter for a period of 36 months. |
6. 291 shares vested on the twenty-ninth day of each month, beginning on April 29, 2012, for a period of 35 months; 1,332 shares vest on the twenty-ninth day of each month, beginning on March 29, 2015, for a period of 12 months; and 1,331 shares vest on March 29, 2016. |
7. 1/48 of the total number of shares underlying this option vest on each monthly anniversary of the date of grant for a period of 48 months. |
Remarks: |
/s/ Irma Villarreal, Attorney-in-Fact | 06/25/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |