SEC Form 4 · accession 0001650649-17-000011
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
Sep 5, 2017
Accepted (ET)
Sep 7, 2017 · 9:51 pm EDT
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 Stock | Sep 5, 2017 | A | 530 | $0.00 | A | 19,838 | D | |
| Common Stock | Sep 5, 2017 | A | 3,592 | $0.00 | A | 23,430 | D | |
| Common Stock | Sep 5, 2017 | A | 563 | $0.00 | A | 23,993 | D | |
| Common Stock | Sep 5, 2017 | A | 189 | $0.00 | A | 24,182 | D | |
| Common Stock | Sep 6, 2017 | F | 278 | $349.65 | D | 23,904 | D | |
| Common Stock | Sep 6, 2017 | F | 1,884 | $349.65 | D | 22,020 | D | |
| Common Stock | Sep 6, 2017 | F | 296 | $349.65 | D | 21,724 | D | |
| Common Stock | Sep 6, 2017 | F | 100 | $349.65 | D | 21,624 | 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 UnitF3 | $0.00 | Sep 5, 2017 | M | 530 | D | — | — | Common Stock | 530 | 5,830 | D |
| Restricted Stock UnitF4 | $0.00 | Sep 5, 2017 | M | 3,592 | D | — | — | Common Stock | 3,592 | 0 | D |
| Restricted Stock UnitF5 | $0.00 | Sep 5, 2017 | M | 563 | D | — | — | Common Stock | 563 | 3,940 | D |
| Restricted Stock UnitF6 | $0.00 | Sep 5, 2017 | M | 189 | D | — | — | Common Stock | 189 | 1,700 | 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 September 5, 2017.
- F2PURSUANT 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.
- F31,060 of the restricted units included in this grant vested on December 5, 2016 and the remaining 7,420 commenced vesting in fourteen equal quarterly installments beginning March 5, 2017.
- F421,555 of the restricted units included in this grant commenced vesting in six equal quarterly installment beginning June 5, 2016.
- F57,318 of the restricted units included in this grant commenced vesting in thirteen equal quarterly installments beginning June 5, 2016.
- F62,834 of the restricted units included in this grant commenced vesting in fifteen equal quarterly installments beginning June 5, 2016.