SEC Form 4 · accession 0001209191-16-126369
QLIK TECHNOLOGIES INC · QLIK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis E. Johnson
Officer — Chief Accounting Officer
Period of report
Jun 5, 2016
Accepted (ET)
Jun 7, 2016 · 7:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001305294
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 5, 2016 | M | 1,175 | — | A | 4,840 | D | |
| Common StockF1 | Jun 6, 2016 | M | 1,800 | — | A | 6,640 | D | |
| Common StockF3 | Jun 6, 2016 | S | 926 | $30.1363 | D | 5,714 | D | |
| Common StockF1 | Jun 7, 2016 | M | 775 | — | A | 6,489 | D | |
| Common StockF1 | Jun 7, 2016 | M | 675 | — | A | 7,164 | D | |
| Common StockF4 | Jun 7, 2016 | S | 460 | $30.085 | D | 6,704 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F5,F6 | — | Jun 5, 2016 | M | 1,175 | D | — | — | Common Stock | 1,175 | 3,525 | D |
| Restricted Stock UnitF1,F7,F6 | — | Jun 6, 2016 | M | 1,800 | D | — | — | Common Stock | 1,800 | 3,600 | D |
| Restricted Stock UnitF1,F8,F6 | — | Jun 7, 2016 | M | 775 | D | — | — | Common Stock | 775 | 775 | D |
| Restricted Stock UnitF1,F9,F6 | — | Jun 7, 2016 | M | 675 | D | — | — | Common Stock | 675 | 0 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
- F2Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the vesting of RSUs described in this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.13 to $30.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.085 to $30.0881, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
- F5The RSUs vest in four (4) equal annual installments beginning June 5, 2016, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
- F6Not applicable.
- F7The RSUs vest in four (4) equal annual installments beginning June 6, 2015, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
- F8The RSUs vest in four (4) equal annual installments beginning June 7, 2014, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
- F9The RSUs vest in four (4) equal annual installments beginning June 7, 2013, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.