SEC Form 4 · accession 0001045810-17-000003
NVIDIA CORP · NVDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jen Hsun Huang
Officer — President and CEO · Director
Period of report
Jan 12, 2017
Accepted (ET)
Jan 13, 2017 · 4:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001045810
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 12, 2017 | M | 41,666 | $18.10 | A | 1,751,872 | D | |
| Common StockF2 | Jan 12, 2017 | S | 41,666 | $102.741 | D | 1,710,206 | D | |
| Common StockF3 | Dec 14, 2016 | G | 143,755 | $0.00 | D | 15,953,830 | I | By Trust |
| Common StockF3 | Dec 19, 2016 | G | 3,275 | $0.00 | D | 15,950,555 | I | By Trust |
| Common StockF3 | Dec 22, 2016 | G | 4,638 | $0.00 | D | 15,945,917 | I | By Trust |
| Common StockF4 | holding | — | — | — | 1,237,239 | I | By Partnership | |
| Common StockF5 | holding | — | — | — | 557,000 | I | By Irrevocable Trust | |
| Common Stock | holding | — | — | — | 769,705 | I | The Jen-Hsun Huang 2016 Annuity Trust I Agreement | |
| Common Stock | holding | — | — | — | 769,705 | I | The Jen-Hsun Huang 2016 Annuity Trust II Agreement | |
| Common Stock | holding | — | — | — | 769,705 | I | The Lori Lynn Huang 2016 Annuity Trust I Agreement | |
| Common Stock | holding | — | — | — | 769,705 | I | The Lori Lynn Huang 2016 Annuity Trust II Agreement |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6 | $18.10 | Jan 12, 2017 | M | 41,666 | D | — | Mar 16, 2017 | Common | 41,666 | 83,336 | D |
Explanation of responses
- F1This transaction was pursuant to a 10b5-1 Plan.
- F2Represents weighted average sales price. The shares were sold at prices ranging from $101.69 to $104.50. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3The shares are held by Jen-Hsun Huang and Lori Huang, as co-trustees of the Jen-Hsun & Lori Huang Living Trust, u/a/d May 1, 1995 (the "Trust"), of which the Reporting Person is a trustee.
- F4The shares are held by J. and L. Huang Investments, L.P., of which the Trust is the general partner.
- F5The shares are held by The Huang 2012 Irrevocable Trust, of which the Reporting Person is a trustee.
- F6Fully vested.