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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 1.4 | 06/10/2013 | M(1) | 861 | (3) | 06/30/2016 | Common Stock | 861 | $ 0 | 5,889 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thakar Sumedh S C/O QUALYS, INC., 1600 BRIDGE PARKWAY REDWOOD SHORES, CA 94065 |
VP, Engineering |
/s/ Bruce Posey by power of attorney for Sumedh S. Thakar | 06/13/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 28, 2013. |
(2) | The sale price reported for this transaction in column 4 of Table I represents the weighted average sale price of the shares sold, ranging from $15.00 to $15.02 per share. Upon request by the Commission staff, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. |
(3) | The option is fully vested and immediately exercisable. |
Remarks: An aggregate of 4,000 shares was sold on behalf of the Reporting Person on June 10, 2013 and reported on a Form 4 filed June 11, 2013. Due to broker error, the Form 4 filed on June 11, 2013 reported the incorrect number of shares sold from (i) long shares owned by the Reporting Person, and (ii) the number of shares subject to a same-day option exercise and sale by the Reporting Person. As such, this Form 4 amends and restates all transactions dated June 10, 2013 that were previously reported. |