SEC Form 4 · accession 0000899243-16-028717
SecureWorks Corp · SCWX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yagyensh C Pati
Director
Period of report
Sep 7, 2016
Accepted (ET)
Sep 8, 2016 · 6:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001468666
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 7, 2016 | A | 8,934 | $0.00 | A | 8,934 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Acquire Class A Common StockF2 | $13.99 | Sep 7, 2016 | A | 49,916 | A | — | Sep 7, 2026 | Class A Common Stock | 49,916 | 49,916 | D |
Explanation of responses
- F1This represents a grant of restricted stock units ("RSUs"). The RSUs vest in full on the first anniversary of the grant date contingent on the Reporting Person's continuation in service on such vesting date.
- F2The options vest in three equal annual installments on the first, second and third anniversaries of the grant date contingent on the Reporting Person's continuation in service on each applicable vesting date.
Remarks
The Reporting Person is a Partner of Centerview Capital Technology Ltd. ("Centerview"), a registered investment adviser under the Investment Advisers Act of 1940, as amended. This Form 4 excludes 1,741,070 shares of Class A Common Stock held by investment funds affiliated with Centerview.