SEC Form 4 · accession 0001209191-18-050725
SPLUNK INC · SPLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard R Stein
Officer — SVP, Corp Affairs & CLO
Period of report
Sep 11, 2018
Accepted (ET)
Sep 12, 2018 · 7:34 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 StockF2,F3 | Sep 11, 2018 | S | 3,259 | $125.39 | D | 103,653 | D | |
| Common StockF4 | Sep 11, 2018 | S | 2,043 | $126.34 | D | 101,610 | D | |
| Common StockF6 | Sep 12, 2018 | S | 700 | $123.26 | D | 100,910 | D | |
| Common StockF7 | Sep 12, 2018 | S | 1,300 | $124.25 | D | 99,610 | D | |
| Common StockF8 | Sep 12, 2018 | S | 2,700 | $125.21 | D | 96,910 | D | |
| Common StockF9 | Sep 12, 2018 | S | 712 | $125.95 | D | 96,198 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares were sold to satisfy the Reporting Person's tax liability in connection with the vesting of restricted stock units ("RSUs") and performance units ("PSUs").
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.94 to $125.91, 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), (4) and (6) through (9) to this Form 4.
- F3Includes 303 shares acquired under the Splunk Inc. Employee Stock Purchase Plan on June 15, 2018.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.96 to $126.91, inclusive.
- F5The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 28, 2017.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.67 to $123.62, inclusive.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $123.71 to $124.55, inclusive.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.82 to $125.71, inclusive.
- F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.83 to $126.04, inclusive.