SEC Form 4 · accession 0001209191-17-062055
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Conte
Officer — SVP & Chief Financial Officer
Period of report
Nov 17, 2017
Accepted (ET)
Nov 21, 2017 · 4:29 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 17, 2017 | M | 12,206 | $4.82 | A | 173,228 | D | |
| Common StockF2 | Nov 17, 2017 | S | 2,300 | $79.11 | D | 170,928 | D | |
| Common StockF3 | Nov 17, 2017 | S | 8,600 | $80.25 | D | 162,328 | D | |
| Common StockF4 | Nov 17, 2017 | S | 32,942 | $81.17 | D | 129,386 | D | |
| Common StockF5 | Nov 17, 2017 | S | 7,371 | $81.81 | D | 122,015 | 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 | $4.82 | Nov 17, 2017 | M | 12,206 | D | — | Dec 14, 2021 | Common Stock | 12,206 | 0 | D |
Explanation of responses
- F1The sale reported on this Form 4 was 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 $78.69 to $79.61, 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) and (5) 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 $79.70 to $80.68, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.71 to $81.70, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.71 to $81.95, inclusive.
- F6The option is fully vested and immediately exercisable.