SEC Form 4 · accession 0001140361-17-035984
Cloudera, Inc. · CLDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin I Cole
Director
Period of report
Jun 15, 2017
Accepted (ET)
Sep 19, 2017 · 9:27 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 | Jun 15, 2017 | M | 1,875 | $0.00 | A | 33,477 | D | |
| Common Stock | Sep 15, 2017 | M | 1,875 | $0.00 | A | 35,352 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | $0.00 | Jun 15, 2017 | M | 1,875 | D | — | — | Common Stock | 1,875 | 1,875 | D |
| Restricted Stock UnitsF2,F3 | $0.00 | Sep 15, 2017 | M | 1,875 | D | — | — | Common Stock | 1,875 | 0 | D |
Explanation of responses
- F1Vesting and release of restricted stock units ("RSUs") granted to the Reporting Person on September 24, 2014.
- F2Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- F31/3 of the total number of RSUs granted vested on September 15, 2015, and thereafter vests as to 1/12th of the total number of RSUs in equal quarterly installments, until such time as the RSUs are 100% vested, subject to the continuing service of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting.