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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
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 Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Option (right to buy) | $ 0.66 | Â | Â | Â | Â | Â | 08/09/2011 | 01/29/2017 | Common Stock | Â | 1,407 | Â | ||
Stock Option (right to buy) | $ 1.26 | Â | Â | Â | Â | Â | 02/14/2011 | 02/14/2018 | Common Stock | Â | 11,719 | Â | ||
Stock Option (right to buy) | $ 1.31 | Â | Â | Â | Â | Â | Â (1) | 02/26/2019 | Common Stock | Â | 20,250 | Â | ||
Stock Option (right to buy) | $ 2.64 | Â | Â | Â | Â | Â | Â (2) | 11/14/2019 | Common Stock | Â | 37,500 | Â | ||
Stock Option (right to buy) | $ 2.64 | Â | Â | Â | Â | Â | Â (3) | 11/14/2019 | Common Stock | Â | 18,750 | Â | ||
Stock Option (right to buy) | $ 2.64 | Â | Â | Â | Â | Â | 08/09/2011 | 11/14/2019 | Common Stock | Â | 11,601 | Â | ||
Stock Option (right to buy) | $ 12.88 | Â | Â | Â | Â | Â | Â (4) | 12/15/2021 | Common Stock | Â | 80,000 | Â | ||
Stock Option (right to buy) | $ 10.26 | Â | Â | Â | Â | Â | Â (5) | 01/24/2022 | Common Stock | Â | 50,000 | Â | ||
Stock Option (right to buy) | $ 6.63 | Â | Â | Â | Â | Â | Â (6) | 10/17/2022 | Common Stock | Â | 40,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KUMARESAN SWAMI C/O CARBONITE, INC. 177 HUNTINGTON AVENUE BOSTON, MA 02115 |
 |  |  EVP, New Ventures |  |
/s/ Danielle Sheer, by power of attorney | 02/12/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This option was exercisable as to 18,000 shares of common stock as of December 31, 2012 and becomes exercisable as to the remaining underlying shares of common stock on February 26, 2013. |
(2) | This option was exercisable as to 28,126 shares of common stock as of December 31, 2012 and becomes exercisable as to the remaining underlying shares of common stock in 4 equal quarterly installments beginning on February 14, 2013. |
(3) | This option was exercisable as to 8,037 shares of common stock as of December 31, 2012 and becomes exercisable as to the remaining underlying shares of common stock in 8 equal quarterly installments beginning on February 14, 2013. |
(4) | This option was exercisable as to 24,000 shares of common stock on December 31, 2012; becomes exercisable as to 6,000 shares of common stock on each of March 15, 2013, June 15, 2013, September 15, 2013, and December 15, 2013; and becomes exercisable as to 8,000 shares of common stock on each of March 15, 2014, June 15, 2014, September 15, 2014, and December 15, 2014. |
(5) | This option was exercisable as to 9,375 shares of common stock as of December 31, 2012 and becomes exercisable as to the remaining underlying shares of common stock in 13 equal quarterly installments beginning on January 26, 2013. |
(6) | This option becomes exercisable in 16 equal quarterly installments beginning on January 17, 2013. |
 Remarks: This ownership report is filed to reflect that the reporting person no longer has any beneficial ownership interest in certain securities previously reported as beneficially owned. |