SEC Form 4 · accession 0001127602-18-032010
Pivotal Software, Inc. · PVTL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Cook
Officer — President
Period of report
Nov 1, 2018
Accepted (ET)
Nov 2, 2018 · 6:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001574135
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Nov 1, 2018 | M | 30,000 | $5.06 | A | 430,000 | D | |
| Class A Common StockF2 | Nov 1, 2018 | S | 30,000 | $20.0787 | D | 400,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3 | $5.06 | Nov 1, 2018 | M | 30,000 | D | — | Jun 28, 2023 | Class A Common Stock | 30,000 | 440,000 | D |
Explanation of responses
- F1The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2018
- F2This transaction was executed in multiple trades at prices ranging from $20.00 to $20.46. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3The stock options were granted on June 28, 2013 and are fully vested.