SEC Form 4 · accession 0001209191-16-153680
Tableau Software Inc · DATA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Forest Baskett
Director
Period of report
Dec 5, 2016
Accepted (ET)
Dec 6, 2016 · 4:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001303652
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Dec 5, 2016 | C | 10,833 | $0.00 | A | 10,833 | D | |
| Class A Common StockF2 | Dec 5, 2016 | S | 10,833 | $45.6622 | D | 0 | D | |
| Class A Common StockF4 | Nov 11, 2016 | G | 23,178 | $0.00 | D | 0 | I | See Note 4 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F5 | $14.98 | Dec 5, 2016 | M | 10,833 | D | — | Mar 14, 2023 | Class B Common Stock | 10,833 | 2,500 | D |
| Class B Common StockF6,F7 | — | Dec 5, 2016 | M | 10,833 | A | — | — | Class A Common Stock | 10,833 | 10,833 | D |
| Class B Common StockF6,F7 | — | Dec 5, 2016 | C | 10,833 | D | — | — | Class A Common Stock | 10,833 | 0 | D |
| Class B Common StockF8,F6,F7 | — | holding | — | — | — | — | — | Class A Common Stock | 982,096 | 982,096 | I |
Explanation of responses
- F1Each share of Class A Common Stock was issued upon conversion of one share of Class B Common Stock.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.47 to $45.92, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
- F3Baskett Family Trust u/a dtd 10/12/10 (the "Baskett Trust") made a gift of shares to a donor-advised charitable gift fund.
- F4The Reporting Person is the trustee of the Baskett Trust, which is the direct beneficial owner of the shares of Class A Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of Class A Common Stock of the Issuer held by the Baskett Trust in which the Reporting Person has no pecuniary interest.
- F5The option vests and becomes exercisable in equal monthly installments over the 48 months following the vesting start date.
- F6Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's Amended and Restated Certificate of Incorporation, including, without limitation, certain transfers for tax and estate planning purposes.
- F7Not applicable.
- F8The Reporting Person is a manager of NEA 11 GP, LLC, which is the sole general partner of NEA Partners 11, Limited Partnership ("NEA Partners 11"). NEA Partners 11 is the sole general partner of New Enterprise Associates 11, Limited Partnership ("NEA 11"), the direct beneficial owner of the Shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion the Shares held by NEA 11 in which the Reporting Person has no pecuniary interest.