SEC Form 4 · accession 0001140361-17-018126

Cloudera, Inc. · CLDR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Ping Li

Director · 10% Owner

Period of report

May 3, 2017

Accepted (ET)

May 3, 2017 · 4:34 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001535379

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	May 3, 2017	C	1,303,011	—	A	1,316,887	I	By Accel Investors 2008 L.L.C.
Common Stock^F1,F3	May 3, 2017	C	12,459,532	—	A	12,592,182	I	By Accel X L.P.
Common Stock^F1,F3	May 3, 2017	C	944,161	—	A	954,215	I	By Accel X Strategic Partners L.P.
Common Stock^F1,F4,F5	May 3, 2017	C	3,018,220	—	A	3,018,220	I	By Accel Growth Fund II L.P.
Common Stock^F1,F4,F5	May 3, 2017	C	218,537	—	A	218,537	I	By Accel Growth Fund II Strategic Partners L.P.
Common Stock^F1,F5	May 3, 2017	C	293,736	—	A	293,736	I	By Accel Growth Fund Investors 2012 L.L.C.
Common Stock^F6	holding	—	—		—	1,382	I	By Accel Investors 2013 L.L.C.
Common Stock^F7	holding	—	—		—	13,007	I	By Accel XI, L.P.
Common Stock^F7	holding	—	—		—	978	I	By Accel XI Strategic Partners L.P.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F1,F2	—	May 3, 2017	C	740,983	D	—	—	Common Stock	740,983	I
Series A Preferred Stock^F1,F3	—	May 3, 2017	C	7,085,356	D	—	—	Common Stock	7,085,356	I
Series A Preferred Stock^F1,F3	—	May 3, 2017	C	536,917	D	—	—	Common Stock	536,917	I
Series B Preferred Stock^F1,F2	—	May 3, 2017	C	154,562	D	—	—	Common Stock	154,562	I
Series B Preferred Stock^F1,F3	—	May 3, 2017	C	1,477,926	D	—	—	Common Stock	1,477,926	I
Series B Preferred Stock^F1,F3	—	May 3, 2017	C	111,996	D	—	—	Common Stock	111,996	I
Series C Preferred Stock^F1,F2	—	May 3, 2017	C	236,096	D	—	—	Common Stock	236,096	I
Series C Preferred Stock^F1,F3	—	May 3, 2017	C	2,257,580	D	—	—	Common Stock	2,257,580	I
Series C Preferred Stock^F1,F3	—	May 3, 2017	C	171,074	D	—	—	Common Stock	171,074	I
Series D Preferred Stock^F1,F2	—	May 3, 2017	C	171,370	D	—	—	Common Stock	171,370	I
Series D Preferred Stock^F1,F3	—	May 3, 2017	C	1,638,670	D	—	—	Common Stock	1,638,670	I
Series D Preferred Stock^F1,F3	—	May 3, 2017	C	124,174	D	—	—	Common Stock	124,174	I
Series E Preferred Stock^F1,F4,F5	—	May 3, 2017	C	3,018,220	D	—	—	Common Stock	3,018,220	I
Series E Preferred Stock^F1,F4,F5	—	May 3, 2017	C	218,537	D	—	—	Common Stock	218,537	I
Series E Preferred Stock^F1,F5	—	May 3, 2017	C	293,736	D	—	—	Common Stock	293,736	I

Explanation of responses

F1In connection with the consummation of the Issuer's initial public offering on May 3, 2017, each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
F2Andrew G. Braccia, Kevin J. Efrusy, Sameer K. Gandhi, Ping Li (who is a director of the Issuer), Tracy L. Sedlock and Richard P. Wong are the Managing Members of Accel Investors 2008 L.L.C. and Accel X Associates L.L.C. and share voting and investment powers over such shares.
F3Accel X Associates L.L.C. is the general partner of Accel X L.P. and Accel X Strategic Partners L.P. and has the sole voting and investment power.
F4Accel Growth Fund II Associates L.L.C. ("AGF II Associates") is the general partner of Accel Growth Fund II L.P. ("AGF II") and Accel Growth Fund II Strategic Partners L.P. ("AGF II Strategic") and has the sole voting and investment power.
F5Andrew G. Braccia, Sameer K. Gandhi, Ping Li (who is a director of the Issuer), Tracy L. Sedlock, Ryan J. Sweeney and Richard P. Wong are the Managing Members of AGF II Associates and Accel Growth Fund Investors 2012 L.L.C. and share voting and investment powers over such shares.
F6Andrew G. Braccia, Sameer K. Gandhi, Ping Li (who is a director of the Issuer), Tracy L. Sedlock and Richard P. Wong are the Managing Members of Accel Investors 2013 L.L.C. and Accel XI Associates L.L.C. and share voting and investment powers over such shares.
F7Accel XI Associates L.L.C. is the General Partner of Accel XI, L.P. and Accel XI Strategic Partners L.P. and has the sole voting and investment power.