Sec Form 3 Filing - Collins John Matthew @ CALIX, INC - 2021-09-25

FORM 3 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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, 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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1. Name and Address of Reporting Person Collins John Matthew 2. Issuer Name and Ticker or Trading Symbol CALIX, INC [ (CALX)] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director _____ 10% Owner X __ Officer (give title below) _____ Other (specify below) EVP, Commercial Operations (Last) (First) (Middle) C/O CALIX, INC., 2777 ORCHARD PARKWAY 3. Date of Earliest Transaction (MM/DD/YY) 09/25/2021 (Street) SAN JOSE, CA95134 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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

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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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 Stock Option (right to buy) $ 6.95 ( 1 ) 08/01/2027 Common Stock 71,000 D Stock Option (right to buy) $ 8.03 ( 2 ) 02/14/2029 Common Stock 45,000 D Stock Option (right to buy) $ 9.16 ( 3 ) 01/31/2030 Common Stock 200,000 D

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other Collins John Matthew C/O CALIX, INC. 2777 ORCHARD PARKWAY SAN JOSE, CA95134 EVP, Commercial Operations Signatures /s/ Tom Gemetti as Attorney-in-fact for John Matthew Collins 10/07/2021 Signature of Reporting Person Date

Explanation of Responses:

( 1 )100% of the shares subject to the option grant were fully vested and exercisable on August 1, 2021. ( 2 )On February 14, 2019, the reporting person was awarded a performance-based nonqualified stock option grant covering 150,000 shares of common stock. On February 13, 2020, the Compensation Committee of Calix, Inc. determined that the performance criteria governing 30% of the grant had been achieved. Each nonqualified stock option award shall vest: (i) as to 25% of the shares of common stock subject to the stock option award, on February 13, 2020; and (ii) as to the remaining 75% of the shares of common stock subject to the stock option award, quarterly in equal installments over 36 months from February 13, 2020. As of September 25, 2021, 28,125 shares subject to the option grant are fully vested and exercisable. ( 3 )On January 31, 2020, the reporting person was awarded a performance-based nonqualified stock option grant covering 200,000 shares of common stock. On February 13, 2021, the Compensation Committee of Calix, Inc. determined that the performance criteria governing the grant had been achieved. Each nonqualified stock option award shall vest: (i) as to 25% of the shares of common stock subject to the stock option award, on January 31, 2021; and (ii) as to the remaining 75% of the shares of common stock subject to the stock option award, quarterly in equal installments over 36 months from January 31, 2021. As of September 25, 2021, 75,000 shares subject to the option grant are fully vested and exercisable.

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).

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