SEC Form 4 · accession 0001140361-18-018021
Cloudera, Inc. · CLDR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ping Li
Director
Period of report
Apr 6, 2018
Accepted (ET)
Apr 10, 2018 · 4:25 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 StockF2 | Apr 6, 2018 | J | 219,665 | $0.00 | D | 439,329 | I | By Accel Investors 2008 L.L.C. |
| Common StockF2,F3 | Apr 6, 2018 | J | 2,100,450 | $0.00 | D | 4,200,899 | I | By Accel X L.P. |
| Common StockF2,F3 | Apr 6, 2018 | J | 159,169 | $0.00 | D | 318,338 | I | By Accel X Strategic Partners L.P. |
| Common StockF4,F5 | Apr 6, 2018 | J | 503,457 | $0.00 | D | 1,006,914 | I | By Accel Growth Fund II L.P. |
| Common StockF4,F5 | Apr 6, 2018 | J | 36,453 | $0.00 | D | 72,907 | I | By Accel Growth Fund II Strategic Partners L.P. |
| Common StockF5 | Apr 6, 2018 | J | 48,997 | $0.00 | D | 97,994 | I | By Accel Growth Fund Investors 2012 L.L.C. |
| Common StockF6 | Apr 6, 2018 | J | 87,839 | $0.00 | A | 87,839 | I | By Li Family Trust |
| Common StockF7 | Apr 6, 2018 | J | 2,009 | $0.00 | A | 2,009 | I | By Li Family GST Exempt Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transactions reported on this form represent pro rata distributions, and not a purchase or sale of securities, by Accel X L.P., Accel X Strategic Partners L.P., Accel Investors 2008 L.L.C., Accel Growth Fund II L.P., Accel Growth Fund II Strategic Partners L.P., and Accel Growth Fund Investors 2012 L.L.C. to their respective general and limited partners or members without consideration. Distribution transactions were executed pursuant to a plan established in compliance with the requirements of Rule 10b5-1.
- 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.
- F6The shares are held of record by the Li Family Trust, dated July 24, 2009 (the "Trust"). The reporting person is trustee of the Trust and has voting and dispositive power over the shares. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F7The shares are held of record by the Li Family GST Exempt Trust (the "GST"). Members of the reporting person's immediate family are beneficial holders of the GST, and the reporting person may be deemed to exercise voting and investment power over such shares. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.