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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Boal Steven R. C/O QUOTIENT TECHNOLOGY INC. 400 LOGUE AVENUE MOUNTAIN VIEW, CA 94043 |
X | CEO |
Margaret Tong Atty-In-Fact for Steven R. Boal | 01/03/2017 | |
**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) | (1) The sales reported on this Form 4 were sold by the reporting person pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 3, 2016. |
(2) | (2) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7750 to $12.90, inclusive. The reporting person undertakes to provide Quotient Technology Inc., any security holder of Quotient Technology Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(3) | (3) The reporting person sold shares on December 1, 2016 pursuant to a Rule 10b5-1 trading plan at a weighted average price of $12.2868; however, due to an administrative error by the broker representing the reporting person, such sales on December 1, 2016 were 17,900 shares less than what was authorized and directed by the 10b5-1 trading plan and the reporting person. Upon discovery of the unexecuted sales, the broker sold 17,900 shares at a weighted average price of $10.4923 on December 29, 2016. Also, the broker compensated the reporting person for the price differential between the authorized but unexecuted December 1, 2016 sales and the December 29, 2016 sales. |
(4) | (4) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.35 to $10.70, inclusive. The reporting person undertakes to provide Quotient Technology Inc., any security holder of Quotient Technology Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | (5) These shares are held directly by the SMSEJ Family Trust U/AA dated July 18, 2005 of which Mr. Boal is a co-trustee. |
(6) | (6) These shares are held directly by Steven R. Boal TTEE of the Steven R. Boal Annuity Trust dated December 6, 2013. |
(7) | (7) These shares are held directly by Steven R. Boal TTEE of the Michelle L. Boal Annuity Trust dated December 6, 2013. |
(8) | (8) These shares are held directly by Stuart Shiff TTEE of the EBB 2011 Trust dated September 23, 2011. |
(9) | (9) These shares are held directly by Stuart Shiff TTEE of the JMB 2011 Trust dated September 23, 2011. |
(10) | (10) These shares are held directly by Stuart Shiff TTEE of the SEB 2011 Trust dated September 23, 2011. |