Key facts
- This page summarizes Jerry Guo's Form 4 filing for Casa Systems Inc.
- 12 reported transactions and 6 derivative rows are listed below.
- Accepted by SEC: 23 Mar 2023, 18:15.
Jerry Guo - 21 Mar 2023 Form 4 Insider Report for Casa Systems Inc
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 21 Mar 2023
- Net transaction value
- -$804,318
- SEC form
- 4
- Accepted by SEC
- 23 Mar 2023, 18:15:08 UTC
- Prior SEC filing
- 28 Feb 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Timothy C. Rodenberger, as Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
Jerry Guo filed Form 4 for Casa Systems Inc on 23 Mar 2023.
Change
- Previous filing in this sequence was filed on 28 Feb 2023.
- Current net transaction value: -$804,318.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
CASA
transaction
Common Stock
Options Exercise
- Transaction value
- Shares
- +89,185
- Change %
- +0.8%
- Price
- Shares after
- 11,231,711
- Date
- 21 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
CASA
transaction
Common Stock
Options Exercise
- Transaction value
- Shares
- +401,011
- Change %
- +3.6%
- Price
- Shares after
- 11,632,722
- Date
- 21 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
CASA
transaction
Common Stock
Options Exercise
- Transaction value
- Shares
- +381,796
- Change %
- +3.3%
- Price
- Shares after
- 12,014,518
- Date
- 21 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
CASA
transaction
Common Stock
Options Exercise
- Transaction value
- Shares
- +407,249
- Change %
- +3.4%
- Price
- Shares after
- 12,421,767
- Date
- 21 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
CASA
transaction
Common Stock
Options Exercise
- Transaction value
- Shares
- +154,869
- Change %
- +1.2%
- Price
- Shares after
- 12,576,636
- Date
- 21 Mar 2023
- Ownership
- Direct
- Footnotes
- F1
CASA
transaction
Common Stock
Tax liability
- Transaction value
- $804,318
- Shares
- -693,378
- Change %
- -5.5%
- Price
- $1.16
- Shares after
- 11,883,258
- Date
- 21 Mar 2023
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
CASA
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -89,185
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 21 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 89,185
- Exercise price
- Footnotes
- F3, F4
CASA
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -401,011
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 21 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 401,011
- Exercise price
- Footnotes
- F3, F5
CASA
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -381,796
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 21 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 381,796
- Exercise price
- Footnotes
- F3, F6
CASA
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -407,249
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 21 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 407,249
- Exercise price
- Footnotes
- F3, F7
CASA
transaction
Derivative
Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +154,869
- Change %
- Price
- $0.000000
- Shares after
- 154,869
- Date
- 21 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 154,869
- Exercise price
- Footnotes
- F3, F8
CASA
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -154,869
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 21 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 154,869
- Exercise price
- Footnotes
- F3, F9
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 9 footnotes
Footnote F1
Restricted stock units ("RSUs") converted into common stock, $0.001 par value per share (the "Common Stock"), of Casa Systems, Inc. (the "Company") on a one-for-one basis upon vesting of the units.
Footnote F2
Shares withheld by the Company to satisfy tax withholding requirements on vesting of RSUs. No shares were sold.
Footnote F3
Each RSU represents the right to receive one share of Common Stock upon vesting, subject to the reporting person's continued service relationship with the Company and the other terms and conditions set forth in the applicable RSU agreement. In the sole discretion of the Company's board of directors, the Company may, with respect to any applicable vesting date, deliver to the reporting person Common Stock or cash having a fair market value equal to the number of shares of Common Stock underlying the portion of the RSU that vested on such date, payable within 30 days of the vesting date, less applicable taxes.
Footnote F4
Pursuant to the Separation Agreement entered into by the Company and the reporting person on March 14, 2023 (the "Separation Agreement"), the vesting of the RSUs granted to the reporting person on February 25, 2020 was fully accelerated and all of the shares underlying the award became vested as of March 21, 2023. The RSUs have no expiration date.
Footnote F5
Pursuant to the Separation Agreement, the vesting of the RSUs granted to the reporting person on February 23, 2021 was fully accelerated and all of the shares underlying the award became vested as of March 21, 2023. The RSUs have no expiration date.
Footnote F6
Pursuant to the Separation Agreement, the vesting of the RSUs granted to the reporting person on May 9, 2022 was fully accelerated and all of the shares underlying the award became vested as of March 21, 2023. The RSUs have no expiration date.
Footnote F7
Pursuant to the Separation Agreement, the vesting of the RSUs granted to the reporting person on May 9, 2022 was fully accelerated and all of the shares underlying the award became vested as of March 21, 2023. The RSUs have no expiration date.
Footnote F8
These RSUs are subject to performance-based vesting, the conditions for which are met upon the Company's level of achievement of pre-established performance parameters, as approved by the Company's Board of Directors, and subject to the other terms and conditions set forth in the applicable RSU agreement. These RSUs have no expiration date.
Footnote F9
Pursuant to the Separation Agreement, the vesting of the RSUs granted to the reporting person on May 11, 2022 was fully accelerated and all of the shares underlying the award became vested as of March 21, 2023. The RSUs have no expiration date.