0001209191-16-153385.txt : 20161205 0001209191-16-153385.hdr.sgml : 20161205 20161205165123 ACCESSION NUMBER: 0001209191-16-153385 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161201 FILED AS OF DATE: 20161205 DATE AS OF CHANGE: 20161205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PEGASYSTEMS INC CENTRAL INDEX KEY: 0001013857 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 042787865 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE ROGERS STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142-1209 BUSINESS PHONE: 6173749600 MAIL ADDRESS: STREET 1: ONE ROGERS STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142-1209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRA DOUGLAS I CENTRAL INDEX KEY: 0001237268 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11859 FILM NUMBER: 162034313 MAIL ADDRESS: STREET 1: 101 MAIN STREET STREET 2: C/O PEGASYSTEMS INC. CITY: CAMBRIDGE STATE: MA ZIP: 02142 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-12-01 0 0001013857 PEGASYSTEMS INC PEGA 0001237268 KRA DOUGLAS I C/O PEGASYSTEMS INC. 1 ROGERS STREET CAMBRIDGE MA 02142 0 1 0 0 SVP, Global Customer Success Common Stock 2016-12-01 4 M 0 1524 0.00 A 37369 D Common Stock 2016-12-01 4 F 0 666 36.10 D 36703 D Common Stock 2016-12-01 4 S 0 858 35.93 D 35845 D Common Stock 2016-12-02 4 M 0 557 0.00 A 36402 D Common Stock 2016-12-02 4 F 0 181 34.85 D 36221 D Stock Options 6.00 2016-12-01 4 M 0 1524 0.00 D 2008-12-13 2017-12-13 Common Stock 32000 18284 D Restricted Stock Options 0.00 2016-12-02 4 M 0 557 0.00 D 2016-03-02 Common Stock 11145 7245 D Represents the exercise price of the Stock Options referenced in Table II and Mr. Kra's tax liability, which were paid by way of withholding by the Company of shares of equal value. Sold pursuant to a pre-arranged stock trading plan under rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Represents the weighted average of the sale prices on December 1, 2016, ranging from $35.90 to $36.00. Represents 5% vesting on December 2, 2016. The original grant was 11145 restricted stock units, with 20% vesting on March 2, 2016, and the remaining 80% vesting in equal quarterly installments over the remaining 4 years. Each restricted stock unit represents the right to receive, following vesting, one share of Pegasystems Inc.'s common stock. Once vested, the shares of common stock are not subject to expiration. /s/ Janet Mesrobian, Esq., Attorney-In-Fact for Douglas Kra 2016-12-05