SEC Form 4 · accession 0001209191-15-070421
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Guido Schroeder
Officer — SVP, Products
Period of report
Sep 10, 2015
Accepted (ET)
Sep 11, 2015 · 8:55 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 | Sep 10, 2015 | M | 10,000 | $9.00 | A | 122,130 | D | |
| Common StockF2 | Sep 10, 2015 | S | 1,650 | $58.88 | D | 120,480 | D | |
| Common StockF3 | Sep 10, 2015 | S | 7,850 | $60.02 | D | 112,630 | D | |
| Common StockF4 | Sep 10, 2015 | S | 500 | $60.50 | D | 112,130 | D | |
| Common Stock | Sep 11, 2015 | S | 3,995 | $59.30 | D | 108,135 | 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)F6 | $9.00 | Sep 10, 2015 | M | 10,000 | D | — | Apr 3, 2022 | Common Stock | 10,000 | 147,208 | 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 December 17, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.41 to $59.23 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 $59.44 to $60.43, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.44 to $60.63, inclusive.
- F5The reported shares were sold to satisfy the Reporting Person's tax liability in connection with the vesting of restricted stock units.
- F6The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on April 2, 2013 and one forty-eighth of the shares vest monthly thereafter.