SEC Form 4/A · accession 0001209191-15-021576
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Godfrey Sullivan
Officer — President, CEO & Chairman · Director
Period of report
Feb 13, 2015
Accepted (ET)
Mar 3, 2015 · 5:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001353283
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3,F4 | Feb 13, 2015 | S | 40,248 | $64.16 | D | 196,698 | D | |
| Common StockF5,F6 | Feb 13, 2015 | S | 650 | $65.05 | D | 196,048 | D | |
| Common StockF7,F8 | holding | — | — | — | 1,600,000 | I | See footnote | |
| Common StockF9 | holding | — | — | — | 12,700 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 23, 2014.
- F2The amendment to the Form 4/A corrects the sale to include the previously reported sale of 9,652 shares previously held directly by the Godfrey and Suzanne Sullivan Revocable Trust dated December 5, 2000 for which the Reporting Person serves as a trustee (the "Trust") which were re-registered on February 13, 2015 and are now held directly by the Reporting Person.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.00 to $64.99, 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 ranges set forth in footnotes (3) and (5) to this Form 4.
- F4Includes 206,350 shares previously held directly by the Trust which were re-registered on February 13, 2015 and are now held directly by the Reporting Person.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.00 to $65.09, inclusive.
- F6The amendment to Form 4/A corrects the ownership form from Indirect to Direct. The sale was previously reported as sold from the Trust.
- F7Excludes 206,350 shares previously held directly by the Trust which were re-registered on February 13, 2015 and are now held directly by the Reporting Person.
- F8Shares held directly by the Godfrey and Suzanne Sullivan Revocable Trust dated December 5, 2000 for which the Reporting Person serves as a trustee.
- F9Shares held directly by the Reporting Person's younger daughter. The Reporting Person disclaims beneficial ownership of the shares, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.