SEC Form 4 · accession 0001495158-16-000003
Tesla, Inc. · TSLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen T Jurvetson
Director
Period of report
Nov 21, 2016
Accepted (ET)
Nov 23, 2016 · 9:30 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,F3 | Nov 21, 2016 | A | 56 | $0.00 | A | 56 | I | by DFJ Fd IX Part LP |
| Common StockF4,F5 | Nov 21, 2016 | A | 35 | $0.00 | A | 35 | I | by DFJ Fd X Part LP |
| Common StockF6,F7 | Nov 21, 2016 | A | 90,941 | $0.00 | A | 90,941 | I | by DFJ Fund IX, LP |
| Common StockF8,F9 | Nov 21, 2016 | A | 28,692 | $0.00 | A | 28,692 | I | by DFJ Fund X, L.P. |
| Common StockF10,F11 | Nov 21, 2016 | A | 2,464 | $0.00 | A | 2,464 | I | by DFJ Part IX LLC |
| Common StockF12,F13 | Nov 21, 2016 | A | 14,975 | $0.00 | A | 14,975 | I | by DFJP GF 2006, LLC |
| Common StockF14,F15 | Nov 21, 2016 | A | 876 | $0.00 | A | 876 | I | by DFJP X, LLC |
| Common StockF16,F17 | Nov 21, 2016 | A | 46,759 | $0.00 | A | 97,073 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported on this Form 4 are exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.
- F10Received in exchange for 22,403 shares of SolarCity Corporation's common stock in connection with the Merger. In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F11These shares are owned directly by Draper Fisher Jurvetson Partners IX, LLC. The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.
- F12Received in exchange for 136,138 shares of SolarCity Corporation's common stock in connection with the Merger. In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F13These shares are owned directly by Draper Fisher Jurvetson Growth Fund 2006, LLC. The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.
- F14Received in exchange for 7,970 shares of SolarCity Corporation's common stock in connection with the Merger. In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F15These shares are owned directly by Draper Fisher Jurvetson Partners X, LLC. The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.
- F16Received in exchange for 425,088 shares of SolarCity Corporation's common stock in connection with the Merger. In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F17These shares are held directly by the Steve and Karla Jurvetson Living Trust dated August 27, 2002.
- F2Received in exchange for 518 shares of SolarCity Corporation's common stock in connection with the acquisition of SolarCity by Tesla Motors, Inc. (the "Merger"). In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F3These shares are owned directly by Draper Fisher Jurvetson Fund IX Partners, L.P. The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.
- F4Received in exchange for 319 shares of SolarCity Corporation's common stock in connection with the acquisition of SolarCity by Tesla Motors, Inc. (the "Merger"). In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F5These shares are owned directly by Draper Fisher Jurvetson Fund X Partners, L.P. The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.
- F6Received in exchange for 826,745 shares of SolarCity Corporation's common stock in connection with the Merger. In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F7These shares are owned directly by Draper Fisher Jurvetson Fund IX, L.P. The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except to the extent of his pecuniary interest therein.
- F8Received in exchange for 260,838 shares of SolarCity Corporation's common stock in connection with the Merger. In accordance with the terms of the Merger, each share of SolarCity common stock was converted into the right to receive 0.110 shares of Tesla common stock, with cash paid in lieu of fractional shares. At the effective time of the Merger, the last traded price of SolarCity's common stock was $20.34 per share, and the last traded price of Tesla's common stock was $185.02 per share.
- F9These shares are owned directly by Draper Fisher Jurvetson Fund X, L.P.The reporting person is one of several managing directors of the general partner entities of these funds that directly hold shares and as such the reporting person may be deemed to have voting and investment power with respect to such shares. The reporting person disclaims beneficial ownership with respect to such shares except tothe extent of his pecuniary interest therein.