SEC Form 4 · accession 0001209191-15-028206
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Sommer
Officer — SVP & Chief Marketing Officer
Period of report
Mar 18, 2015
Accepted (ET)
Mar 20, 2015 · 4:26 pm EDT
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 Stock | Mar 18, 2015 | M | 1,042 | $2.14 | A | 309,899 | D | |
| Common Stock | Mar 18, 2015 | M | 2,084 | $4.82 | A | 311,983 | D | |
| Common StockF2 | Mar 18, 2015 | S | 3,900 | $62.81 | D | 308,083 | D | |
| Common StockF3 | Mar 18, 2015 | S | 10,496 | $63.66 | D | 297,587 | D | |
| Common StockF4 | Mar 18, 2015 | S | 4,210 | $64.61 | D | 293,377 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F5 | $2.14 | Mar 18, 2015 | M | 1,042 | D | — | Mar 16, 2021 | Common Stock | 1,042 | 0 | D |
| Employee Stock Option (right to buy)F6 | $4.82 | Mar 18, 2015 | M | 2,084 | D | — | Dec 14, 2021 | Common Stock | 2,084 | 18,750 | D |
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 24, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.175 to $63.16, 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 (2) through (4) to 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 $63.20 to $64.14, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.20 to $64.86, inclusive.
- F5One-fourth of the shares subject to the option vested on March 27, 2012 and one forty-eighth of the shares vest monthly thereafter.
- F6One-fourth of the shares subject to the option vested on December 15, 2012 and one forty-eighth of the shares vest monthly thereafter.