Form Type: 4

SEC EDGAR Link
Accession Number:0001179110-19-006161
Date:2019-05-14
Issuer: CARBON BLACK, INC. (CBLK)
Original Submission Date:

Reporting Person:

POLK RYAN JAMES
C/O CARBON BLACK, INC.
1100 WINTER STREET WALTHAM, MA 02451

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-05-14 M 128,000 a $5.98 197,995 direct
COMMON STOCK 2019-05-14 S 128,000 d $19.00 69,995 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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) 5.98 2019-05-14 deemed execution date M 128,000 (d) 2027-01-26 common stock 128,000 $5.98 172,000 direct
Footnotes
IDfootnote
f1 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on september 17, 2018.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $19.00 to $19.01, inclusive. the reporting person undertakes to provide to carbon black, inc., any security holder of carbon black, inc., or the staff of the u.s. securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
f3 the stock option vests 25% on january 1, 2018 and the remainder vests in equal monthly installments such that the option will be fully vested on january 1, 2021.
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