SEC Form 4 · accession 0001209191-17-060992
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Godfrey Sullivan
Director
Period of report
Nov 13, 2017
Accepted (ET)
Nov 15, 2017 · 6:27 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 | Nov 13, 2017 | M | 25,000 | $0.565 | A | 585,790 | D | |
| Common StockF2 | Nov 13, 2017 | S | 20,950 | $68.12 | D | 564,840 | D | |
| Common StockF3 | Nov 13, 2017 | S | 19,050 | $69.17 | D | 545,790 | D | |
| Common Stock | Nov 14, 2017 | M | 25,000 | $0.565 | A | 570,790 | D | |
| Common StockF4 | Nov 14, 2017 | S | 36,991 | $68.19 | D | 533,799 | D | |
| Common StockF5 | Nov 14, 2017 | S | 3,009 | $68.58 | D | 530,790 | D | |
| Common Stock | Nov 15, 2017 | M | 25,000 | $0.565 | A | 555,790 | D | |
| Common StockF6 | Nov 15, 2017 | S | 33,883 | $67.74 | D | 521,907 | D | |
| Common StockF7 | Nov 15, 2017 | S | 6,117 | $68.19 | D | 515,790 | D | |
| Common StockF8 | 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)F9 | $0.565 | Nov 13, 2017 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 337,515 | D |
| Employee Stock Option (right to buy)F9 | $0.565 | Nov 14, 2017 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 312,515 | D |
| Employee Stock Option (right to buy)F9 | $0.565 | Nov 15, 2017 | M | 25,000 | D | — | Sep 16, 2018 | Common Stock | 25,000 | 287,515 | 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 $67.70 to $68.69, 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 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 $68.70 to $69.88, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.51 to $68.50, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.51 to $68.74, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.05 to $68.04, inclusive.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.05 to $68.41, 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.