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Ownership Document |
Schema Version: X0306 |
Document Type: 4 |
Period of Report: 9/4/20 |
Not Subject to Section 16: 0 |
Issuer: |
| Issuer CIK: 1406666 |
| Issuer Name: CALIX, INC |
| Issuer Trading Symbol: (CALX) |
Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1211436 |
| | Owner Name: LISTWIN DONALD J |
| Reporting Owner Address: |
| | Owner Street 1: C/O CALIX, INC. |
| | Owner Street 2: 2777 ORCHARD PARKWAY |
| | Owner City: SAN JOSE |
| | Owner State: CA |
| | Owner ZIP Code: 95134 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: |
| | Other Text: |
Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 9/4/20 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: G |
| | | Equity Swap Involved? No |
| | | Footnote ID: F1 |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 15,000 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 777,477 |
| Footnote ID: F2 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 9/4/20 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: G |
| | | Equity Swap Involved? No |
| | | Footnote ID: F1 |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 5,000 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 280,000 |
| Footnote ID: F3 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: See Footnote |
Derivative Table: |
Footnotes: |
| Footnote - F1: Represents a bona fide gift by reporting person. |
| Footnote - F2: Amount of securities beneficially owned includes 12,477 unvested restricted stock units. |
| Footnote - F3: Shares held by No Mas Ninos, L.P. The reporting person is a general partner of No Mas Ninos, L.P. and may be deemed to have shared voting and investment power over the shares held by the partnership. |
Remarks: |
Owner Signature: |
| Signature Name: /s/ Tom Gemetti as Attorney-in-fact for Donald J Listwin |
| Signature Date: 9/9/20 |