SEC FORM 4/A SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Shanmugaraj Murugesan

(Last) (First) (Middle)
C/O ACACIA COMMUNICATIONS, INC.
THREE MILL AND MAIN PLACE, SUITE 400

(Street)
MAYNARD MA 01754

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Acacia Communications, Inc. [ ACIA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President & CEO
3. Date of Earliest Transaction (Month/Day/Year)
06/05/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
06/07/2019
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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(1) 06/05/2019 S 2,520 D $47.4116(2) 158,240 I By The Shanmugaraj Irrevocable Children's Trust
Common Stock(1) 06/05/2019 S 1,540 D $48.0139(3) 156,700 I By The Shanmugaraj Irrevocable Children's Trust
Common Stock(4) 06/05/2019 S 2,520 D $47.4116(2) 143,577 I By The Malini Shanmugaraj 2016 QTIP Trust
Common Stock(4) 06/05/2019 S 1,540 D $48.0139(3) 142,037 I By The Malini Shanmugaraj 2016 QTIP Trust
Common Stock(1) 06/06/2019 S 2,740 D $47.3365(5) 153,960 I By The Shanmugaraj Irrevocable Children's Trust
Common Stock(1) 06/06/2019 S 1,040 D $48.1437(6) 152,920 I By The Shanmugaraj Irrevocable Children's Trust
Common Stock(1) 06/06/2019 S 140 D $49.2057(7) 152,780 I By The Shanmugaraj Irrevocable Children's Trust
Common Stock(4) 06/06/2019 S 2,740 D $47.3365(5) 139,297 I By The Malini Shanmugaraj 2016 QTIP Trust
Common Stock(4) 06/06/2019 S 1,040 D $48.1437(6) 138,257 I By The Malini Shanmugaraj 2016 QTIP Trust
Common Stock(4) 06/06/2019 S 140 D $49.2057(7) 138,117 I By The Malini Shanmugaraj 2016 QTIP Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Explanation of Responses:
1. This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Shanmugaraj Irrevocable Children's Trust on November 26, 2018.
2. This transaction was executed in multiple trades at prices ranging from $46.92 to $47.91, inclusive; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the registrant, or a security holder of the registrant.
3. This transaction was executed in multiple trades at prices ranging from $47.92 to $48.10, inclusive; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the registrant, or a security holder of the registrant.
4. This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Malini Shanmugaraj 2016 QTIP Trust on November 26, 2018.
5. This transaction was executed in multiple trades at prices ranging from $46.91 to $47.90, inclusive; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the registrant, or a security holder of the registrant.
6. This transaction was executed in multiple trades at prices ranging from $47.91 to $48.82, inclusive; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the registrant, or a security holder of the registrant.
7. This transaction was executed in multiple trades at prices ranging from $48.92 to $49.34, inclusive; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the registrant, or a security holder of the registrant.
Remarks:
This Amended Form 4 is being filed to correct the original Form 4 for the inadvertent overstatement of sales by 2,030 shares of Common Stock, as well as the corresponding understatement of indirect holdings as of June 5, 2019 and June 6, 2019, by both the Shanmugaraj Irrevocable Children's Trust and the Malini Shanmugaraj 2016 QTIP Trust. As a result of such overstatement, Form 4s filed by the reporting person on each of August 16, 2019, February 5, 2020, March 20, 2020 and May 15, 2020 also understated by 2,030 shares of Common Stock the indirect holdings of each of the Shanmugaraj Irrevocable Children's Trust and the Malini Shanmugaraj 2016 QTIP Trust.
/s/ Janene I. Asgeirsson, attorney-in-fact 06/05/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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