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)
10/30/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
11/01/2013
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 10/30/2013 S(1) 719(2) A $10 18,846 D
Common Stock 10/31/2013 M 18,335 A $1.2478 37,181 D
Common Stock 10/31/2013 S(1) 18,335 D $12.4572 18,846 D
Common Stock 10/31/2013 M 9,366 A $1.4313 28,212 D
Common Stock 10/31/2013 S(1) 9,366 D $12.4572 18,846 D
Common Stock 10/31/2013 M 17,710 A $2.42 36,556 D
Common Stock 10/31/2013 S(1) 17,710 D $12.4572 18,846 D
Common Stock 11/01/2013 M 283 A $1.4313 19,129 D
Common Stock 11/01/2013 S(1) 283 D $13 18,846 D
Common Stock 11/01/2013 M 483 A $1.2478 19,329 D
Common Stock 11/01/2013 S(1) 483 D $13 18,846(6) 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) $1.2478 10/31/2013 M 18,335 (3) 06/26/2020 Common Stock 18,335 $0.00 4,825(7) D
Stock Option (Right to buy) $1.2478 11/01/2013 M 483 (3) 06/26/2020 Common Stock 483 $0.00 4,342(7) D
Stock Option (Right to buy) $1.4313 10/31/2013 M 9,366 (4) 11/29/2020 Common Stock 9,366 $0.00 4,257(7) D
Stock Option (Right to buy) $1.4313 11/01/2013 M 283 (4) 11/29/2020 Common Stock 283 $0.00 3,974(7) D
Stock Option (Right to buy) $2.42 10/31/2013 M 17,710 (5) 05/21/2018 Common Stock 17,710 $0.00 0(7) D
Explanation of Responses:
1. The sales reported in this Form 4 were affected pursuant to the Rule 10b5-1 plan adopted by the reporting person on August 29, 2013.
2. The initial RSU grant for 5,128 shares vest in four equal installments, of which the first installment vested on 2/17/2012.
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. 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.
5. 25% of the granted 17, 710 shares underlying this option became exercisable on 5/22/2008 and are fully vested.
6. This amendment is being filed to correct the number of shares held by the Reporting Person in Column 5 of Table I, which was incorrectly reported on the original Form 4.
7. This amendment is being filed to correct the number of derivative securities beneficially owned by the Reporting Person following the stock option exercises shown in Column 9 of Table II, which was incorrectly reported on the original Form 4.
/s/ Sergio Garcia, Attorney-in-Fact 11/13/2013
** 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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