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CALX

CALIX, INC

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4385
SEC CIK
0001406666
Parsed reports
353

Last 12 months

Inside the activity.

0 purchase rows · 13 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202508
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202602
May 202600
Jun 202600
Jul 202601
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 22, 2019 Filed May 23, 2019 20:23 UTC GrantCommon Stock 21,148 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000078 · wf-form4_155864298571425.xml · nonDerivative · entry 1

EVERETT MICHAEL T · CIK 0001235467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,229

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

Read SEC document
May 22, 2019 Filed May 23, 2019 20:22 UTC GrantCommon Stock 21,148 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000076 · wf-form4_155864292962358.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,734

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

Read SEC document
May 22, 2019 Filed May 23, 2019 20:21 UTC GrantCommon Stock 21,148 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000075 · wf-form4_155864290156821.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714,468

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

Read SEC document
May 22, 2019 Filed May 23, 2019 20:20 UTC GrantCommon Stock 21,148 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000073 · wf-form4_155864284426199.xml · nonDerivative · entry 2

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,303

F2 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F3 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

Read SEC document
May 22, 2019 Filed May 23, 2019 20:20 UTC PurchaseCommon Stock 33,500 $6.62 $221,806.85
Disclosure

SEC source: 0001406666-19-000073 · wf-form4_155864284426199.xml · nonDerivative · entry 1

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,155

F1 · price: Shares purchased between $6.5815 and $6.6501 per share at a weighted average price of $6.6211. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

Read SEC document
May 22, 2019 Filed May 23, 2019 20:20 UTC GrantCommon Stock 21,148 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000072 · wf-form4_155864281415741.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,408

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

Read SEC document
May 22, 2019 Filed May 23, 2019 20:16 UTC GrantCommon Stock 21,148 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000063 · wf-form4_155864255475396.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,610

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

Read SEC document
May 17, 2019 Filed May 20, 2019 20:18 UTC SaleCommon Stock 3,053 $6.58 $20,088.74
Disclosure

SEC source: 0001406666-19-000058 · wf-form4_155838350485188.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,462

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of restricted stock units.

F2 · price: Shares sold between $6.55 and $6.63 per share at a weighted average price of $6.58. The reporting person will provide full information regarding the number of shares sold at each sale price upon request.

Read SEC document
May 17, 2019 Filed May 20, 2019 20:16 UTC GrantCommon Stock 4,526 $6.58 $29,771.12
Disclosure

SEC source: 0001406666-19-000056 · wf-form4_155838337076169.xml · nonDerivative · entry 2

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,335,871

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
May 16, 2019 Filed May 16, 2019 23:31 UTC SaleCommon Stock 3,053 $6.62 $20,210.86
Disclosure

SEC source: 0001406666-19-000052 · wf-form4_155804947260147.xml · nonDerivative · entry 2

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,515

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of restricted stock units.

F3 · price: Shares sold between $6.57 and $6.67 per share at a weighted average price of $6.62. The reporting person will provide full information regarding the number of shares sold at each sale price upon request.

Read SEC document
May 16, 2019 Filed May 20, 2019 20:16 UTC PurchaseCommon Stock 27,091 $6.57 $178,107.07
Disclosure

SEC source: 0001406666-19-000056 · wf-form4_155838337076169.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,331,345

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
May 15, 2019 Filed May 17, 2019 00:19 UTC PurchaseCommon Stock 11,360 $6.59 $74,905.57
Disclosure

SEC source: 0001406666-19-000054 · wf-form4_155805232495080.xml · nonDerivative · entry 2

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,304,254

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
May 15, 2019 Filed May 16, 2019 23:31 UTC SaleCommon Stock 3,053 $6.62 $20,210.86
Disclosure

SEC source: 0001406666-19-000052 · wf-form4_155804947260147.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,568

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of restricted stock units.

F2 · price: Shares sold between $6.58 and $6.67 per share at a weighted average price of $6.62. The reporting person will provide full information regarding the number of shares sold at each sale price upon request.

Read SEC document
May 14, 2019 Filed May 15, 2019 16:20 UTC
Weening MichaelEVP, Field Operations
GrantCommon Stock 2,000 $5.60 $11,200.00
Disclosure

SEC source: 0001406666-19-000048 · wf-form4_155795161597751.xml · nonDerivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,374

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 15, 2018 through May 14, 2019. This transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased at 85% of the closing price of the issuer's common stock on May 14, 2019, the last trading day of the purchase period.

Read SEC document
May 14, 2019 Filed May 15, 2019 20:21 UTC
SINDELAR CORYChief Financial Officer
GrantCommon Stock 2,000 $5.60 $11,200.00
Disclosure

SEC source: 0001406666-19-000050 · wf-form4_155795169263749.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,000

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 15, 2018 through May 14, 2019. This transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased at 85% of the closing price of the issuer's common stock on May 14, 2019, the last trading day of the purchase period.

Read SEC document
May 14, 2019 Filed May 17, 2019 00:19 UTC PurchaseCommon Stock 39,850 $6.50 $259,124.63
Disclosure

SEC source: 0001406666-19-000054 · wf-form4_155805232495080.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,292,894

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
May 13, 2019 Filed May 14, 2019 20:31 UTC PurchaseCommon Stock 15,000 $6.72 $100,869.00
Disclosure

SEC source: 0001406666-19-000046 · wf-form4_155786587589492.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 693,320

F1 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
May 07, 2019 Filed May 13, 2019 21:09 UTC SaleCommon Stock 13,000 $7.09 $92,189.50
Disclosure

SEC source: 0001406666-19-000044 · wf-form4_155778173345540.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,260

Read SEC document
February 14, 2019 Filed Feb 19, 2019 21:24 UTC
Weening MichaelEVP, Field Operations
GrantStock Option (right to buy) · Derivative 204,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001406666-19-000021 · wf-form4_155062947387607.xml · derivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,000

Underlying: Common Stock · 204,000 shares

Expires 2027-12-29

F1 · derivative.exercise_date: On December 29, 2017, the reporting person was awarded a performance-based nonqualified stock options grant covering 204,000 shares of common stock. On February 14, 2019, the Compensation Committee of Calix, Inc. determined that the performance criteria had been achieved. Each nonqualified stock option award shall vest: (i) as to 50% of the shares of common stock subject to the stock option award, on January 1, 2019; and (ii) as to the remaining 50% of the shares of common stock subject to the stock option award, quarterly in equal installments over 24 months from January 1, 2019.

F2 · balance_after: Number of derivative securities beneficially owned includes 244,500 in unvested nonqualified stock option awards.

Read SEC document
February 14, 2019 Filed Feb 20, 2019 02:14 UTC
SINDELAR CORYChief Financial Officer
GrantStock Option (right to buy) · Derivative 108,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001406666-19-000019 · wf-form4_155062883443375.xml · derivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,000

Underlying: Common Stock · 108,000 shares

Expires 2027-12-29

F1 · derivative.exercise_date: On December 29, 2017, the reporting person was awarded a performance-based nonqualified stock option grant covering 108,000 shares of common stock. On February 14, 2019, the Compensation Committee of Calix, Inc. determined that the performance criteria had been achieved. Each nonqualified stock option award shall vest: (i) as to 50% of the shares of common stock subject to the stock option award, on January 1, 2019; and (ii) as to the remaining 50% of the shares of common stock subject to the stock option award, quarterly in equal installments over 24 months from January 1, 2019.

F2 · balance_after: Number of derivative securities beneficially owned includes 260,250 unvested nonqualified stock option awards.

Read SEC document
February 14, 2019 Filed Feb 19, 2019 14:07 UTC PurchaseCommon Stock 12,500 $8.04 $100,441.25
Disclosure

SEC source: 0001406666-19-000014 · wf-form4_155058521737094.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 678,320

F1 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
February 08, 2019 Filed Feb 11, 2019 21:17 UTC
SINDELAR CORYChief Financial Officer
PurchaseCommon Stock 10,000 $7.53 $75,250.00
Disclosure

SEC source: 0001406666-19-000010 · wf-form4_154991986328499.xml · nonDerivative · entry 2

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,000

F3 · price: Shares purchased between $7.50 and $7.55 per share at a weighted average price of $7.525. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

Read SEC document
February 08, 2019 Filed Feb 12, 2019 21:15 UTC PurchaseCommon Stock 100,000 $7.49 $749,000.00
Disclosure

SEC source: 0001406666-19-000012 · wf-form4_155000610835996.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,253,044

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Read SEC document
December 31, 2018 Filed Jan 7, 2019 23:06 UTC GiftCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001406666-19-000002 · wf-form4_154690239304035.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 665,820

F1 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
November 30, 2018 Filed Dec 4, 2018 21:10 UTC
Makagon KiraDirector
SaleCommon Stock 12,000 $9.55 $114,600.00
Disclosure

SEC source: 0001406666-18-000102 · wf-form4_154395778868501.xml · nonDerivative · entry 1

Makagon Kira · CIK 0001586648 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,650

Read SEC document
November 27, 2018 Filed Nov 29, 2018 21:16 UTC SaleCommon Stock 7,000 $9.76 $68,320.00
Disclosure

SEC source: 0001406666-18-000100 · wf-form4_154352618630120.xml · nonDerivative · entry 2

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,260

Read SEC document
November 14, 2018 Filed Nov 16, 2018 16:34 UTC
Weening MichaelEVP, Field Operations
GrantCommon Stock 1,960 $5.31 $10,412.50
Disclosure

SEC source: 0001406666-18-000096 · wf-form4_154240402400223.xml · nonDerivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,374

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of May 15, 2018 through November 14, 2018. This transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on May 15, 2018.

Read SEC document
November 14, 2018 Filed Nov 16, 2018 21:35 UTC
SINDELAR CORYChief Financial Officer
GrantCommon Stock 2,000 $5.31 $10,625.00
Disclosure

SEC source: 0001406666-18-000098 · wf-form4_154240412920006.xml · nonDerivative · entry 2

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of May 15, 2018 through November 14, 2018. This transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on May 15, 2018.

Read SEC document
November 14, 2018 Filed Nov 16, 2018 21:35 UTC
SINDELAR CORYChief Financial Officer
PurchaseCommon Stock 5,000 $10.50 $52,500.00
Disclosure

SEC source: 0001406666-18-000098 · wf-form4_154240412920006.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Read SEC document
November 08, 2018 Filed Nov 9, 2018 21:41 UTC PurchaseCommon Stock 12,500 $9.80 $122,500.00
Disclosure

SEC source: 0001406666-18-000094 · wf-form4_154179968077438.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,820

F1 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
October 03, 2018 Filed Oct 4, 2018 01:41 UTC SaleCommon Stock 3,054 $7.82 $23,882.28
Disclosure

SEC source: 0001406666-18-000087 · wf-form4_153861730079502.xml · nonDerivative · entry 3

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,621

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of restricted stock units.

F4 · price: Shares sold between $7.77 and $7.86 per share at a weighted average price of $7.82. The reporting person will provide full information regarding the number of shares sold at each sale price upon request.

Read SEC document
October 02, 2018 Filed Oct 4, 2018 01:41 UTC SaleCommon Stock 3,053 $7.97 $24,332.41
Disclosure

SEC source: 0001406666-18-000087 · wf-form4_153861730079502.xml · nonDerivative · entry 2

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,675

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of restricted stock units.

F3 · price: Shares sold between $7.95 and $7.99 per share at a weighted average price of $7.97. The reporting person will provide full information regarding the number of shares sold at each sale price upon request

Read SEC document
October 01, 2018 Filed Oct 4, 2018 01:41 UTC SaleCommon Stock 3,053 $8.08 $24,668.24
Disclosure

SEC source: 0001406666-18-000087 · wf-form4_153861730079502.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,728

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of restricted stock units.

F2 · price: Shares sold between $8.02 and $8.14 per share at a weighted average price of $8.08. The reporting person will provide full information regarding the number of shares sold at each sale price upon request.

Read SEC document
August 16, 2018 Filed Aug 20, 2018 20:20 UTC
SINDELAR CORYChief Financial Officer
PurchaseCommon Stock 3,000 $6.85 $20,550.00
Disclosure

SEC source: 0001406666-18-000079 · wf-form4_153479641467147.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Read SEC document
August 16, 2018 Filed Aug 20, 2018 20:18 UTC PurchaseCommon Stock 13,500 $6.98 $94,232.70
Disclosure

SEC source: 0001406666-18-000077 · wf-form4_153479631800902.xml · nonDerivative · entry 2

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,655

F1 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
August 16, 2018 Filed Aug 20, 2018 20:18 UTC PurchaseCommon Stock 25,000 $6.98 $174,375.00
Disclosure

SEC source: 0001406666-18-000077 · wf-form4_153479631800902.xml · nonDerivative · entry 1

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,155

F1 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
August 15, 2018 Filed Aug 16, 2018 20:38 UTC
SINDELAR CORYChief Financial Officer
PurchaseCommon Stock 11,700 $7.05 $82,515.42
Disclosure

SEC source: 0001406666-18-000075 · wf-form4_153445192080706.xml · nonDerivative · entry 2

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

F1 · price: Shares purchased between $6.98 and $7.10 per share at a weighted average price of $7.0526. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

Read SEC document
August 14, 2018 Filed Aug 16, 2018 20:38 UTC
SINDELAR CORYChief Financial Officer
PurchaseCommon Stock 300 $7.00 $2,100.00
Disclosure

SEC source: 0001406666-18-000075 · wf-form4_153445192080706.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,300

Read SEC document
August 10, 2018 Filed Aug 13, 2018 21:12 UTC PurchaseCommon Stock 12,500 $6.88 $85,965.00
Disclosure

SEC source: 0001406666-18-000073 · wf-form4_153419474627782.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,320

F1 · price: Shares purchased between $6.75 and $6.90 per share at a weighted average price of $6.8772. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
May 16, 2018 Filed May 18, 2018 20:24 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000059 · wf-form4_152667499936415.xml · nonDerivative · entry 1

Peters Kevin Robert · CIK 0001622622 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,403

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

Read SEC document
May 16, 2018 Filed May 18, 2018 20:19 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000057 · wf-form4_152667470809348.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,260

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 16, 2018 Filed May 18, 2018 20:08 UTC
Makagon KiraDirector
GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000055 · wf-form4_152667406840208.xml · nonDerivative · entry 1

Makagon Kira · CIK 0001586648 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,650

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 16, 2018 Filed May 18, 2018 20:02 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000051 · wf-form4_152667370795285.xml · nonDerivative · entry 1

EVERETT MICHAEL T · CIK 0001235467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,081

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 16, 2018 Filed May 18, 2018 20:04 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000053 · wf-form4_152667387557136.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 655,820

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 16, 2018 Filed May 18, 2018 19:55 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000049 · wf-form4_152667331501561.xml · nonDerivative · entry 1

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,155

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 16, 2018 Filed May 18, 2018 19:50 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000047 · wf-form4_152667302308710.xml · nonDerivative · entry 1

CRUSCO KATHLEEN M · CIK 0001237508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,256

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 16, 2018 Filed May 18, 2018 19:42 UTC GrantCommon Stock 18,320 $0.00 $0.00
Disclosure

SEC source: 0001406666-18-000045 · wf-form4_152667252276910.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,781

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 18,320 unvested RSUs.

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May 14, 2018 Filed May 16, 2018 17:02 UTC
Weening MichaelEVP, Sales and Marketing
GrantCommon Stock 2,000 $5.19 $10,370.00
Disclosure

SEC source: 0001406666-18-000041 · wf-form4_152650455708980.xml · nonDerivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,414

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 15, 2017 through May 14, 2018. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased at 85% of the closing price of the issuer's common stock on November 15, 2017, the first trading day of the purchase period.

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May 14, 2018 Filed Nov 29, 2018 21:16 UTC SaleCommon Stock 15,000 $6.29 $94,308.00
Disclosure

SEC source: 0001406666-18-000100 · wf-form4_154352618630120.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,260

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May 14, 2018 Filed Feb 11, 2019 21:17 UTC
SINDELAR CORYChief Financial Officer
GrantCommon Stock 2,000 $5.19 $10,370.00
Disclosure

SEC source: 0001406666-19-000010 · wf-form4_154991986328499.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,000

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 15, 2017 through May 14, 2018. This transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased at 85% of the closing price of the issuer's common stock on November 15, 2017, the first trading day of the purchase period.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.