SEC Form 4 · accession 0001123292-16-002171
SecureWorks Corp · SCWX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Apr 22, 2016 | A | 13,393 | $0.00 | A | 13,393 | 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 | $14.00 | Apr 21, 2016 | A | 48,143 | A | — | Apr 21, 2026 | Class A Common Stock | 48,143 | 48,143 | 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 Holdings LLC ("Centerview"), a registered investment adviser under the Investment Advisers Act of 1940, as amended. This Form 3 excludes $13,625,591 in aggregate principal amount of 5% Convertible Notes due 2017 ("Convertible Notes") held by Centerview Capital Technology Fund (Delaware) L.P., an affiliate of Centerview, $4,900,409 in aggregate principal amount of Convertible Notes held by Centerview Capital Technology Fund-A (Delaware), L.P., an affiliate of Centerview and $975,000 in aggregate principal amount of Convertible Notes held by Centerview Capital Technology Employee Fund L.P., an affiliate of Centerview.