Initial Statement of Beneficial Ownership (3)
11 Settembre 2019 - 11:29PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
*
Bacher Chad |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/4/2019
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3. Issuer Name and Ticker or Trading Symbol
Carbonite Inc [CARB]
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(Last)
(First)
(Middle)
C/O CARBONITE, INC., TWO AVENUE DE LAFAYETTE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Product Officer / |
(Street)
BOSTON, MA 02111
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 48451 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Consists of (i) 32,301 restricted stock units which will vest in 4 equal annual installments beginning on March 26, 2020, (ii) 10,094 performance-based restricted stock units which will vest in whole or in part based on achievement of certain key performance metrics on February 15, 2020, and (iii) 6,056 performance-based restricted stock units which will vest in whole or in part based upon the issuer's relative total shareholder return (as compared to a group of comparable companies in the Russell 3000) over a three-year performance period, each subject to the Recipient's continued service to the Company. The vesting schedule for the PRSUs shall be accelerated upon certain Change of Control events. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bacher Chad C/O CARBONITE, INC. TWO AVENUE DE LAFAYETTE BOSTON, MA 02111 |
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| Chief Product Officer |
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Signatures
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/s/Anthony Folger, by power of attorney | | 9/11/2019 |
**Signature of Reporting Person | Date |
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