SEC Form 4 · accession 0001104659-17-021791
Nutanix, Inc. · NTNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Christopher J Schaepe
10% Owner
Barry Eggers
10% Owner
Peter Nieh
10% Owner
LIGHTSPEED VENTURE PARTNERS VIII LP
10% Owner
Lightspeed General Partner VII, L.P.
10% Owner
Period of report
Apr 3, 2017
Accepted (ET)
Apr 5, 2017 · 9:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001618732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF16,F1 | Apr 3, 2017 | S | 10,287 | $18.4217 | D | 32,787 | I | By Nieh Family Investments LP - Fund 1 |
| Class A Common StockF16,F19 | Apr 3, 2017 | S | 13,135 | $18.4217 | D | 94,339 | D | |
| Class A Common StockF17,F2 | Apr 3, 2017 | S | 25,000 | $18.5034 | D | 57,474 | I | By The Schaepe-Chiu Living Trust Dated 11/5/1997 |
| Class A Common StockF18,F19 | Apr 4, 2017 | S | 31,910 | $17.6142 | D | 62,429 | D | |
| Class A Common StockF3,F4,F5 | Apr 4, 2017 | J | 2,860,445 | — | D | 4,631,331 | I | By Lightspeed Venture Partners VII, L.P. |
| Class A Common StockF3,F6,F5 | Apr 4, 2017 | J | 736,565 | — | A | 736,565 | I | By Lightspeed General Partner VII, L.P. |
| Class A Common StockF7,F6,F5 | Apr 4, 2017 | J | 736,565 | — | D | 0 | I | By Lightspeed General Partner VII, L.P. |
| Class A Common StockF7,F8 | Apr 4, 2017 | J | 107,473 | — | A | 124,947 | I | By Barry Eggers Revocable Trust dtd 6/4/2008 |
| Class A Common StockF7,F19 | Apr 4, 2017 | J | 107,473 | — | A | 169,902 | D | |
| Class A Common StockF7,F2 | Apr 4, 2017 | J | 107,473 | — | A | 164,947 | I | By The Schaepe-Chiu Living Trust Dated 11/5/1997 |
| Class A Common StockF9,F10,F11 | Apr 4, 2017 | J | 1,430,223 | — | D | 751,928 | I | By Lightspeed Venture Partners VIII, L.P. |
| Class A Common StockF9,F12,F11 | Apr 4, 2017 | J | 332,886 | — | A | 332,886 | I | By Lightspeed General Partner VIII, L.P. |
| Class A Common StockF13,F12,F11 | Apr 4, 2017 | J | 332,886 | — | D | 0 | I | By Lightspeed General Partner VIII, L.P. |
| Class A Common StockF13,F14 | Apr 4, 2017 | J | 43,074 | — | A | 43,074 | I | By Eggers Investments, L.P. |
| Class A Common StockF13,F15 | Apr 4, 2017 | J | 43,074 | — | A | 86,148 | I | By Schaepe-Chiu Investments I LP - Fund 1 |
| Class A Common StockF13,F1 | Apr 4, 2017 | J | 43,074 | — | A | 75,861 | I | By Nieh Family Investments I LP - Fund 1 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are held of record by Nieh Family Investments LP - Fund 1. Peter Nieh serves as co-trustee of the general partner of such entity.
- F10The shares are held of record by Lightspeed VIII.
- F11Lightspeed Ultimate General Partner VIII, Ltd. is the sole general partner of Lightspeed General Partner VIII, L.P. ("LGP VIII"), which is the sole general partner of Lightspeed VIII. The individual directors of Lightspeed Ultimate General Partner VIII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
- F12The shares are held of record by LGP VIII.
- F13Represents in-kind distribution by LGP VIII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
- F14The shares are held of record by Eggers Investments, L.P. Barry Eggers serves as trustee of the general partner of such entity.
- F15The shares are held of record by Schaepe-Chiu Investments I LP - Fund 1. Christopher J. Schaepe serves as co-trustee of the general partner of such entity.
- F16These sales were executed in multiple trades at prices ranging from $18.35 to $18.50. The price reported above reflects the weighted average sale price. Mr. Nieh hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
- F17These sales were executed in multiple trades at prices ranging from $18.38 to $18.62. The price reported above reflects the weighted average sale price. Mr. Schaepe hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
- F18These sales were executed in multiple trades at prices ranging from $17.44 to $17.74. The price reported above reflects the weighted average sale price. Mr. Nieh hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
- F19The shares are held of record by Peter Nieh.
- F2The shares are held of record by The Schaepe-Chiu Living Trust Dated November 5, 1997, for which Christopher J. Schaepe serves as co-trustee.
- F3Represents in-kind distribution by Lightspeed Venture Partners VII, L.P. ("Lightspeed VII") without consideration to its partners (including LGP VII, the general partner of Lightspeed VII).
- F4The shares are held of record by Lightspeed VII.
- F5Lightspeed Ultimate General Partner VII, Ltd. is the sole general partner of Lightspeed General Partner VII, L.P. ("LGP VII"), which is the sole general partner of Lightspeed VII. The individual directors of Lightspeed Ultimate General Partner VII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
- F6The shares are held of record by LGP VII.
- F7Represents in-kind distribution by LGP VII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
- F8The shares are held of record by Barry Eggers Revocable Trust dtd 6/4/2008, for which Barry Eggers serves as trustee.
- F9Represents in-kind distribution by Lightspeed Venture Partners VIII, L.P. ("Lightspeed VIII") without consideration to its partners (including LGP VIII, the general partner of Lightspeed VIII).
Remarks
Mr. Mhatre is a director of the Issuer and files a separate report on Form 4 with respect to his beneficial ownership of Issuer securities held by the Lightspeed entities.