Statement of Changes in Beneficial Ownership (4)
March 01 2021 - 6:19PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Tooth Margaret |
2. Issuer Name and Ticker or Trading Symbol
TRUPANION, INC.
[
TRUP
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President |
(Last)
(First)
(Middle)
C/O TRUPANION, INC., 6100 4TH AVENUE SOUTH, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2021 |
(Street)
SEATTLE, WA 98108
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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 | 2/25/2021 | | M | | 1220 | A | (1) | 9043 | D | |
Common Stock | 2/25/2021 | | F | | 311 (2) | D | $94.72 | 8732 | D | |
Common Stock | 2/25/2021 | | M | | 2377 | A | (1) | 11109 | D | |
Common Stock | 2/25/2021 | | F | | 578 (2) | D | $94.72 | 10531 | D | |
Common Stock | 2/25/2021 | | M | | 8686 | A | (1) | 19217 | D | |
Common Stock | 2/25/2021 | | F | | 2463 (2) | D | $94.72 | 16754 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Restricted Stock Unit (RSU) | (1) | 2/25/2021 | | M | | | 1220 | (3) | 2/25/2022 | Common Stock | 1220.0 | $0 | 4878 | D | |
Restricted Stock Unit (RSU) | (1) | 2/25/2021 | | M | | | 2377 | (4) | 2/25/2023 | Common Stock | 2377.0 | $0 | 19010 | D | |
Restricted Stock Unit (RSU) | (1) | 2/25/2021 | | M | | | 8686 | (5) | 2/25/2024 | Common Stock | 8686.0 | $0 | 26055 | D | |
Explanation of Responses: |
(1) | Restricted stock units convert into common stock on a one-for-one basis. |
(2) | This Form 4 discloses the shares of common stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the vesting of the restricted stock units, and does not represent a sale by the reporting person. |
(3) | The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2019, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date. |
(4) | The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2020, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date. |
(5) | The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2021, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Tooth Margaret C/O TRUPANION, INC. 6100 4TH AVENUE SOUTH, SUITE 200 SEATTLE, WA 98108 |
|
| President |
|
Signatures
|
/s/ Charlotte Sim-Warner as attorney-in-fact for Margaret Tooth | | 3/1/2021 |
**Signature of Reporting Person | Date |
Trupanion (NASDAQ:TRUP)
Historical Stock Chart
From Aug 2024 to Sep 2024
Trupanion (NASDAQ:TRUP)
Historical Stock Chart
From Sep 2023 to Sep 2024