SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Lamm Carl

(Last) (First) (Middle)
4698 WILLOW ROAD

(Street)
PLEASANTON CA 94588

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Zeltiq Aesthetics Inc [ ZLTQ ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP of Operations
3. Date of Earliest Transaction (Month/Day/Year)
01/17/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/17/2014 M 852(1) A $1.4313 15,948 D
Common Stock 01/17/2014 S 852(1) D $23.3922 15,096 D
Common stock 01/17/2014 M 965(1) A $1.2478 16,061 D
Common Stock 01/17/2014 S 965(1) D $23.3922 15,096 D
Common Stock 01/17/2014 M 731(1) A $11.3 16,637 D
Common Stock 01/17/2014 S 731(1) D $23.3922 15,096 D
Common Stock 01/17/2014 M 8,125(1) A $4.3 23,221 D
Common Stock 01/17/2014 S 8,125(1) D $23.3922 15,906 D
Common Stock 01/17/2014 M 1,067(1) A $10.2028 16,973 D
Common Stock 01/17/2014 S 1,067(1) D $23.3922 15,906 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $1.4313 01/17/2014 M 852 (2) 11/29/2020 Common Stock 852 $1.4313 3,122 D
Stock Option (Right to Buy) $1.2478 01/17/2014 M 965 (3) 07/27/2020 Common stock 965 $1.2478 3,377 D
Stock Option (Right to Buy) $11.3 01/17/2014 M 731 (4) 02/16/2022 Common Stock 731 $11.3 9,503 D
Stock Option (Right to Buy) $4.3 01/17/2014 M 8,125 (5) 11/14/2022 Common Stock 8,125 $4.3 21,875 D
Stock Option (Right to Buy) $10.2028 01/17/2014 M 1,067 (6) 07/26/2021 Common Stock 1,067 $10.2028 10,132 D
Explanation of Responses:
1. The sales reported in this FORM 4 were effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on August 29, 2013 and amended on November 26, 2013.
2. 25% of the granted 13,623 shares underlying this option became exercisable on 11/30/2011. The remaining vest in a series of 36 equal monthly installments provided the Reporting Person continues to provide services to ZELTIQ Aesthetics, Inc.
3. 25% of the granted 23,160 shares underlying this option became exercisable on 6/27/2011. The remaining vest in a series of 36 equal monthly installments provided the Reporting Person continues to provide services to ZELTIQ Aesthetics, Inc.
4. One 48th of the shares vest in equal monthly installments over a 48 month period from the grant date February 17, 2012, provided the Reporting Person continues to provide services to ZELTIQ Aesthetics, Inc.
5. 25% of the granted 30,000 shares underlying this option became exercisable on 11/15/2013. The remaining vest in a series of 36 equal monthly installments provided the Reporting Person continues to provide services to ZELTIQ Aesthetics, Inc.
6. 25% of the granted 17,544 shares underlying this option became exercisable on 2/17/2013, and the remainder vest in equal monthly installments over a 36-month period thereafter, subject to the Reporting Person's continued service to the Issuer.
Remarks:
/s/ Carl Lamm 01/22/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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