SEC Form 4 · accession 0001352816-18-000006
Tesla, Inc. · TSLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Douglas Field
Officer — Senior VP, Engineering
Period of report
Mar 5, 2018
Accepted (ET)
Mar 7, 2018 · 9:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001318605
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Mar 5, 2018 | M | 189 | $0.00 | A | 18,442 | D | |
| Common Stock | Mar 5, 2018 | M | 530 | $0.00 | A | 18,972 | D | |
| Common Stock | Mar 5, 2018 | M | 563 | $0.00 | A | 19,535 | D | |
| Common Stock | Mar 5, 2018 | M | 3,042 | $0.00 | A | 22,577 | D | |
| Common Stock | Mar 6, 2018 | F | 78 | $333.75 | D | 22,499 | D | |
| Common Stock | Mar 6, 2018 | F | 184 | $333.75 | D | 22,315 | D | |
| Common Stock | Mar 6, 2018 | F | 196 | $333.75 | D | 22,119 | D | |
| Common Stock | Mar 6, 2018 | F | 1,258 | $333.75 | D | 20,861 | 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 UnitF4 | $0.00 | Mar 5, 2018 | M | 563 | D | — | — | Common Stock | 563 | 2,814 | D |
| Restricted Stock UnitF5 | $0.00 | Mar 5, 2018 | M | 189 | D | — | — | Common Stock | 189 | 1,322 | D |
| Restricted Stock UnitF6 | $0.00 | Mar 5, 2018 | M | 530 | D | — | — | Common Stock | 530 | 4,770 | D |
| Restricted Stock UnitF7 | $0.00 | Mar 5, 2018 | M | 3,042 | D | — | — | Common Stock | 3,042 | 21,289 | D |
Explanation of responses
- F1Shares of the Issuer's common stock were issued to the reporting person upon the vesting of restricted stock units on March 5, 2018.
- F2Amount of securities beneficially owned includes 25 shares acquired under the Tesla, Inc. Employee Stock Purchase Plan on February 28, 2018.
- F3PURSUANT TO THE ISSUER'S EQUITY PLAN AND POLICIES, THESE SHARES OF COMMON STOCK WERE AUTOMATICALLY WITHHELD AND SOLD BY THE ISSUER TO SATISFY THE REPORTING PERSON'S TAX WITHHOLDING OBLIGATIONS RELATED TO THE VESTING OF RESTRICTED STOCK UNITS REPORTED HEREIN.
- F41,689 of the restricted stock units included in this grant vested on March 5, 2016 and the remaining 7,318 shares commenced vesting in thirteen equal quarterly installments beginning June 5, 2016
- F5The restricted stock units included in this grant commenced vesting in sixteen equal quarterly installments beginning March 5, 2016.
- F61,060 of the restricted stock units included in this grant vested on December 5, 2016 and the remaining 7,420 shares commenced vesting in fourteen equal quarterly installments beginning March 5, 2017.
- F73,042 of the restricted stock units included in this grant vested on March 5, 2018 and the remaining 21,289 shares will commence vesting in fourteen equal quarterly installments beginning June 5, 2018.