SEC Form 4 · accession 0001209191-16-155258
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Godfrey Sullivan
Director
Period of report
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 7:07 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 Stock | Dec 12, 2016 | M | 25,000 | $0.565 | A | 246,676 | D | |
| Common StockF2 | Dec 12, 2016 | S | 38,750 | $56.21 | D | 207,926 | D | |
| Common StockF3 | Dec 12, 2016 | S | 10,000 | $56.93 | D | 197,926 | D | |
| Common Stock | Dec 13, 2016 | M | 25,000 | $0.565 | A | 222,926 | D | |
| Common StockF4 | Dec 13, 2016 | S | 39,200 | $57.16 | D | 183,726 | D | |
| Common StockF5 | Dec 13, 2016 | S | 800 | $57.66 | D | 182,926 | D | |
| Common Stock | Dec 14, 2016 | M | 25,000 | $0.565 | A | 207,926 | D | |
| Common StockF6 | Dec 14, 2016 | S | 28,686 | $55.49 | D | 179,240 | D | |
| Common StockF7 | Dec 14, 2016 | S | 11,314 | $56.31 | D | 167,926 | D | |
| Common StockF8 | holding | — | — | — | 900,000 | I | See footnote |
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)F9 | $0.565 | Dec 12, 2016 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 1,037,515 | D |
| Employee Stock Option (right to buy)F9 | $0.565 | Dec 13, 2016 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 1,012,515 | D |
| Employee Stock Option (right to buy)F9 | $0.565 | Dec 14, 2016 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 987,515 | 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 4, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.85 to $56.84 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 (7) 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 $56.85 to $57.14, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.64 to $57.63, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.64 to $57.68, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.99, inclusive.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.01 to $56.735, inclusive.
- F8Shares held directly by the Godfrey and Suzanne Sullivan Revocable Trust dated December 5, 2000 for which the Reporting Person serves as a trustee.
- F9The option is fully vested and immediately exercisable.