| Accession Number: | 0001406666-23-000009 |
| Date: | 2023-01-30 |
| Issuer: | CALIX, INC ((CALX)) |
| Original Submission Date: |
RUSSO CARL
C/O CALIX, INC.
2777 ORCHARD PARKWAY
SAN JOSE, CA 95134
| 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 | 2023-01-30 | M | 200,000 | a | $8.41 | 3,628,381 | direct | ||
| COMMON STOCK | 2023-01-30 | 0 | $0.00 | 2,239,188 | indirect | ||||
| COMMON STOCK | 2023-01-30 | 0 | $0.00 | 284,653 | indirect | ||||
| COMMON STOCK | 2023-01-30 | 0 | $0.00 | 275,633 | indirect |
| 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) | 8.41 | 2023-01-30 | deemed execution date | M | 200,000 (d) | 2023-02-21 | common stock 200,000 | $8.41 | 0 | direct |
| ID | footnote |
|---|---|
| f1 | shares held by the crescentico trust, carl russo, trustee. |
| f2 | shares held by calgrat partners, l.p. the managing partner of calgrat partners, l.p. is tim pasquinelli. carl russo and tim pasquinelli may be deemed to have shared voting and investment power over the shares held by calgrat partners, l.p. each of these individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
| f3 | 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. |
| f4 | 100% of the shares subject to the option were fully vested and exercisable on february 21, 2017. |
