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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 3/14/18 |
| 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: 1626681 |
| | Owner Name: PLANTS J DANIEL |
| Reporting Owner Address: |
| | Owner Street 1: C/O CALIX, INC. |
| | Owner Street 2: 1035 N. MCDOWELL BLVD. |
| | Owner City: PETALUMA |
| | Owner State: CA |
| | Owner ZIP Code: 94954 |
| | 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: 3/14/18 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 27,586 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 27,586 |
| Footnote ID: F2 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Common Stock |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,013,794 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: Owned by Voce Capital Management LLC |
| Footnote ID: F3 |
| Derivative Table: |
| Footnotes: |
| Footnote - F1: Represents an automatic initial grant of restricted stock units ("RSUs") that will vest in full on the one year anniversary of the date of grant. Each RSU represents a contingent right to receive one share of the issuer's common stock. |
| Footnote - F2: Amount of securities beneficially owned includes 27,586 unvested RSUs. |
| Footnote - F3: Shares held by Voce Capital Management, LLC. Mr. Plants is managing member of Voce Capital Management, LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/ Sheila Cheung as Attorney-in-Fact for J. Daniel Plants |
| Signature Date: 3/16/18 |
