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*
Levie Aaron

(Last) (First) (Middle)
900 JEFFERSON AVENUE

(Street)
REDWOOD CITY CA 94063

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BOX INC [ BOX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
06/14/2018
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
Class A Common Stock 06/14/2018 C 2,565,372 A $0.00(1) 2,598,072 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
Class B Common Stock (1) 06/14/2018 C 2,565,372 (1) (1) Class A Common Stock 0 $0.00 0 D
Employee Stock Option (right to buy) $0.29 06/14/2018 J(2) 588,841 (3) 07/14/2020 Class B Common Stock 588,841 $0.00 0 D
Employee Stock Option (right to buy) $0.29 06/14/2018 J(2) 588,841 (3) 07/14/2020 Class A Common Stock 588,841 $0.00 588,841 D
Employee Stock Option (right to buy) $0.59 06/14/2018 J(2) 25,000 (3) 04/06/2021 Class B Common Stock 25,000 $0.00 0 D
Employee Stock Option (right to buy) $0.59 06/14/2018 J(2) 25,000 (3) 04/06/2021 Class A Common Stock 25,000 $0.00 25,000 D
Employee Stock Option (right to buy) $1.16 06/14/2018 J(2) 770,000 (3) 04/01/2022 Class B Common Stock 770,000 $0.00 0 D
Employee Stock Option (right to buy) $1.16 06/14/2018 J(2) 770,000 (3) 04/01/2022 Class A Common Stock 770,000 $0.00 770,000 D
Employee Stock Option (right to buy) $4 06/14/2018 J(2) 410,000 (3) 04/01/2022 Class B Common Stock 410,000 $0.00 0 D
Employee Stock Option (right to buy) $4 06/14/2018 J(2) 410,000 (3) 04/01/2022 Class A Common Stock 410,000 $0.00 410,000 D
Employee Stock Option (right to buy) $4 06/14/2018 J(2) 410,000 (3) 04/01/2022 Class B Common Stock 410,000 $0.00 0 D
Employee Stock Option (right to buy) $4 06/14/2018 J(2) 410,000 (3) 04/01/2022 Class A Common Stock 410,000 $0.00 410,000 D
Employee Stock Option (right to buy) $4 06/14/2018 J(2) 410,000 (3) 04/26/2022 Class B Common Stock 410,000 $0.00 0 D
Employee Stock Option (right to buy) $4 06/14/2018 J(2) 410,000 (3) 04/26/2022 Class A Common Stock 410,000 $0.00 410,000 D
Explanation of Responses:
1. This does not represent a sale or purchase of Issuer's common stock; rather, it represents the automatic conversion of shares of the Issuer's Class B Common Stock into shares of the Issuer's Class A Common Stock, which occurred when outstanding Class B Common Stock no longer represented at least 5% of the Issuer's total outstanding common stock, as set forth in the Issuer's Amended and Restated Certificate of Incorporation.
2. In connection with the automatic conversion described in footnote (1) above, outstanding Class B Common Stock restricted stock units and options that were issued under the Issuer's 2011 Equity Incentive Plan and 2006 Stock Incentive Plan remain unchanged, except that the underlying shares are now Class A Common Stock.
3. The shares subject to the option are fully vested and exercisable.
Remarks:
/s/ David Leeb, Attorney-in-Fact 06/18/2018
** 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).
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