Accession Number: | 0001209191-14-049817 |
Date: | 2014-07-30 |
Issuer: | ZELTIQ AESTHETICS INC (ZLTQ) |
Original Submission Date: |
LAMM CARL
4698 WILLOW ROAD, SUITE 100
PLEASANTON, CA 94588
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-07-30 | M | 965 | a | $1.25 | 25,689 | direct | ||
COMMON STOCK | 2014-07-30 | S | 965 | d | $20.23 | 24,724 | direct | ||
COMMON STOCK | 2014-07-30 | M | 568 | a | $1.43 | 25,292 | direct | ||
COMMON STOCK | 2014-07-30 | S | 568 | d | $20.23 | 24,724 | direct | ||
COMMON STOCK | 2014-07-30 | M | 1,066 | a | $10.20 | 25,790 | direct | ||
COMMON STOCK | 2014-07-30 | S | 1,066 | d | $20.23 | 24,724 | direct | ||
COMMON STOCK | 2014-07-30 | M | 1,250 | a | $4.30 | 25,974 | direct | ||
COMMON STOCK | 2014-07-30 | S | 1,250 | d | $20.23 | 24,724 | direct | ||
COMMON STOCK | 2014-07-30 | M | 731 | a | $11.30 | 25,455 | direct | ||
COMMON STOCK | 2014-07-30 | S | 731 | d | $20.23 | 24,724 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK OPTION (RIGHT TO BUY) | 1.2478 | 2014-07-30 | deemed execution date | M | 965 (d) | 2020-07-26 | common stock 965 | $1.25 | 482 | direct | ||
STOCK OPTION (RIGHT TO BUY) | 1.4313 | 2014-07-30 | deemed execution date | M | 568 (d) | 2020-11-29 | common stock 568 | $1.43 | 1,419 | direct | ||
STOCK OPTION (RIGHT TO BUY) | 10.2028 | 2014-07-30 | deemed execution date | M | 1,066 (d) | 2021-07-26 | common stock 1,066 | $10.20 | 6,933 | direct | ||
STOCK OPTION (RIGHT TO BUY) | 4.3 | 2014-07-30 | deemed execution date | M | 1,250 (d) | 2022-11-14 | common stock 1,250 | $4.30 | 18,125 | direct | ||
STOCK OPTION (RIGHT TO BUY) | 11.3 | 2014-07-30 | deemed execution date | M | 731 (d) | 2022-02-16 | common stock 731 | $11.30 | 7,310 | direct |
ID | footnote |
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f1 | the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on august 29, 2013 and amended on november 26, 2013. |
f2 | 25% of the granted 23,160 shares underlying this option became exercisable on 7/27/2011. the remaining shares vest in a series of 36 equal monthly installments provided that the reporting person continues to provide services to the issuer. |
f3 | 25% of the granted 13,623 shares underlying this option became exercisable on 11/30/2011. the remaining shares vest in a series of 36 equal monthly installments provided that the reporting person continues to provide services to the issuer. |
f4 | 25% of the granted 25,862 shares underlying this option became exercisable on 7/27/2012. the remaining shares vest in a series of 36 equal monthly installments provided that the reporting person continues to provide services to the issuer. |
f5 | 25% of the granted 30,000 shares underlying this option became exercisable on 11/15/2013. the remaining shares vest in a series of 36 equal monthly installments provided that the reporting person continues to provide services to the issuer. |
f6 | one 48th of the granted 17,544 shares vest in equal monthly installments over a 48 month period from the grant date february 17, 2012, provided that the reporting person continues to provide services to the issuer. |