SEC Form 4 · accession 0001140361-18-014116
Cloudera, Inc. · CLDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin I Cole
Director
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 6:28 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 | Mar 15, 2018 | M | 12,900 | $0.00 | A | 48,252 | D | |
| Common StockF2 | holding | — | — | — | 50,000 | I | By Cole Family Holdings, LLLP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | $0.00 | Mar 15, 2018 | M | 12,900 | D | — | — | Common Stock | 12,900 | 0 | D |
Explanation of responses
- F1Vesting and release of restricted stock units ("RSUs") granted to the Reporting Person on March 8, 2017.
- F2Shares directly held by the Cole Family Holdings, LLLP, of which the Reporting Person is a trustee and may be deemed to share voting and dispositive power over these shares.
- F3Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- F4100% of the shares will vest on March 15, 2018, subject to the continuing service of the Reporting Person on the vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon vesting.