SEC Form 4 · accession 0001209191-17-057027
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Godfrey Sullivan
Director
Period of report
Oct 12, 2017
Accepted (ET)
Oct 16, 2017 · 5:41 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 | Oct 12, 2017 | M | 25,000 | $0.565 | A | 600,790 | D | |
| Common StockF2 | Oct 12, 2017 | S | 40,000 | $63.48 | D | 560,790 | D | |
| Common StockF3 | holding | — | — | — | 100,000 | 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)F4 | $0.565 | Oct 12, 2017 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 362,515 | 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 February 27, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.88 to $63.69, 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 this footnote.
- F3Shares held directly by the Godfrey and Suzanne Sullivan Revocable Trust dated December 5, 2000 for which the Reporting Person serves as a trustee.
- F4The option is fully vested and immediately exercisable.