Form 4 for DBX DROPBOX, INC.
Accepted 2022-12-07 00:00:00 ET · period of report 2022-12-05 · accession 0001562180-22-008138 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-12-07 | 2022-12-05 | DBX | Houston Andrew | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | +150.0K | 162.5K | +1,200% | $0 |
| DI | 2022-12-07 | 2022-12-05 | DBX | Houston Andrew | CEO, Dir, 10% | S - Sale | $22.66 | -162.5K | 0 | -100% | -$3.68M |
| DI | 2022-12-07 | 2022-12-05 | DBX | Houston Andrew | CEO, Dir, 10% | C - Cnv Deriv | $0.00 | -150.0K | 72.59M | -0.2% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2022-12-05 | C | A | 150,000 | $0.00 | 162,500 | I See footnote | — | — | (F1) 150,000 shares of Class B Common Stock were converted into 150,000 shares of Class A Common Stock at the election of the Reporting Person and had no expiration date. (F2) Shares held by the Andrew Houston Revocable Trust u/a/d 9/7/2011, for which reporting person serves as trustee. |
| 2 | Common | Class A Common Stock | 2022-12-05 | S | D | 162,500 | $22.66 | 0 | I See footnote | — | — | (F4) This transaction was executed in multiple trades at prices ranging from $22.39 to $23.06. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. (F2) Shares held by the Andrew Houston Revocable Trust u/a/d 9/7/2011, for which reporting person serves as trustee. |
| 3 | Derivative | Class B Common Stock | 2022-12-05 | C | D | 150,000 | $0.00 | 72,588,073 | I See foonote | — · — to — | 150,000 Class A Common Stock | (F2) Shares held by the Andrew Houston Revocable Trust u/a/d 9/7/2011, for which reporting person serves as trustee. (F7) The Issuer's Class B Common Stock is convertible into the Issuer's Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date. |