0001209191-12-022114.txt : 20120404 0001209191-12-022114.hdr.sgml : 20120404 20120404184411 ACCESSION NUMBER: 0001209191-12-022114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120402 FILED AS OF DATE: 20120404 DATE AS OF CHANGE: 20120404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRIEND DAVID CENTRAL INDEX KEY: 0001229269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35264 FILM NUMBER: 12743355 MAIL ADDRESS: STREET 1: 70 FRANKLIN STREET STREET 2: 4TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Carbonite Inc CENTRAL INDEX KEY: 0001340127 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 331111329 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 177 HUNTINGTON AVENUE CITY: BOSTON STATE: MA ZIP: 02115 BUSINESS PHONE: 6175871140 MAIL ADDRESS: STREET 1: 177 HUNTINGTON AVENUE CITY: BOSTON STATE: MA ZIP: 02115 4 1 doc4.xml FORM 4 SUBMISSION X0305 4 2012-04-02 0 0001340127 Carbonite Inc CARB 0001229269 FRIEND DAVID C/O CARBONITE, INC. 177 HUNTINGTON AVENUE BOSTON MA 02115 1 1 0 0 CEO and President Common Stock 2012-04-02 4 S 0 1753 10.5904 D 912286 D Common Stock 2012-04-02 4 S 0 60 10.5904 D 99940 I By Trust Common Stock 2012-04-02 4 S 0 281 10.5904 D 456911 I By Trust Common Stock 2012-04-02 4 S 0 54 10.5904 D 85535 I By Trust Common Stock 2012-04-02 4 S 0 61 10.5904 D 98480 I By Trust Common Stock 2012-04-02 4 S 0 54 10.5904 D 85535 I By Trust Common Stock 2012-04-02 4 S 0 61 10.5904 D 98480 I By Trust Common Stock 2012-04-02 4 S 0 15 10.5904 D 23985 I By Trust Common Stock 2012-04-03 4 S 0 1753 10.4393 D 910533 D Common Stock 2012-04-03 4 S 0 60 10.4393 D 99880 I By Trust Common Stock 2012-04-03 4 S 0 281 10.4393 D 456630 I By Trust Common Stock 2012-04-03 4 S 0 54 10.4393 D 85481 I By Trust Common Stock 2012-04-03 4 S 0 61 10.4393 D 98419 I By Trust Common Stock 2012-04-03 4 S 0 54 10.4393 D 85481 I By Trust Common Stock 2012-04-03 4 S 0 61 10.4393 D 98419 I By Trust Common Stock 2012-04-03 4 S 0 15 10.4393 D 23970 I By Trust Common Stock 24525 I By Spouse Common Stock 3000 I By Son Common Stock 3000 I By Son Common Stock 3000 I By Daughter Common Stock 3000 I By Daughter The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2011. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.36 to $11.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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. Reflects the distribution on or about March 13, 2012 to the reporting person of 16,260 shares of Common Stock from the David Friend 2009 Qualified Annuity Trust II, 8,265 shares of Common Stock from the David Friend 2009 Qualified Annuity Trust III, and 42,808 shares of Common Stock from the David Friend 2010 Qualified Annuity Trust I. These shares are owned by the David Friend 2011 Qualified Annunity Trust I. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Reflects the distribution on or about March 13, 2012 to the reporting person of 42,808 shares of Common Stock. These shares are owned by the David Friend 2010 Qualified Annunity Trust I. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Reflects the distribution on or about March 13, 2012 to the reporting person of 16,260 shares of Common Stock. These shares are owned by the David Friend 2009 Qualified Annunity Trust II. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Reflects the distribution on or about March 13, 2012 to the reporting person of 8,265 shares of Common Stock. These shares are owned by the David Friend 2009 Qualified Annunity Trust III. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Reflects the distribution on or about March 13, 2012 to Margaret F.A. Shepherd of 16,260 shares of Common Stock. These shares are owned by the Margaret F.A. Shepherd 2009 Qualified Annuity Trust. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. Reflects the distribution on or about March 13, 2012 to Margaret F.A. Shepherd of 8,265 shares of Common Stock. These shares are owned by the Margaret F.A. Shepherd 2009 Qualified Annuity Trust II. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. These shares are owned by the Friend-Shepherd Family 2009 Irrevocable Trust II. The reporting person is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.22 to $10.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, 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. Reflects the distribution on or about March 13, 2012 to Margaret F.A. Shepherd of 16,260 shares of Common Stock from the Margaret Sherpherd 2009 Qualified Annuity Trust and 8,265 shares of Common Stock from the Margaret Shepherd 2009 Qualified Annuity Trust II. These shares are owned by Margaret F.A. Shepherd. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. These shares are owned by Jasper Friend. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. These shares are owned by Zachery Friend. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. These shares are owned by Lilian Friend. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. These shares are owned by Zoe Friend. The reporting person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. /s/ Danielle Sheer, by power of attorney 2012-04-04