UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (2)(3) | 10/02/2018 | Common Stock | 107,730 (4) | $ 1.31 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRIEND DAVID C/O CARBONITE, INC. 177 HUNTINGTON AVENUE BOSTON, MA 02115 |
 X |  |  CEO and President |  |
/s/ Danielle Sheer, by power of attorney | 01/11/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 26,931 of these shares were inadvertently included in Table II of the reporting person's orginal Form 3, omitted from Table I of the reporting person's original Form 3, and were also omitted from Table I of four Form 4s filed by the reporting person after his original Form 3 was filed. |
(2) | This option becomes exercisable in 4 equal quarterly installments beginning on November 7, 2011. |
(3) | The corresponding footnote to the reporting person's original Form 3 incorrectly stated that this option was currently exercisable as to 26,931 shares of common stock; this option was exercised for such 26,931 shares of common stock prior to the filing of the reporting person's original Form 3. |
(4) | 26,931 shares of common stock subject to this option were inadvertently included in Table II of the reporting person's orginal Form 3, and were omitted from Table I of the reporting person's original Form 3. |
 Remarks: The reporting person's original Form 3 did not reflect his exercise of an option for 26,931 shares of common stock. |