SEC Form 4 · accession 0001618732-17-000020
Nutanix, Inc. · NTNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Sangster
Officer — EVP, Operations
Period of report
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 5:01 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 Stock | Mar 29, 2017 | M | 201,405 | $0.49 | A | 303,405 | D | |
| Class A Common StockF1,F2 | Mar 29, 2017 | S | 201,405 | $18.6426 | D | 102,000 | D | |
| Class A Common Stock | Mar 30, 2017 | M | 46,595 | $0.49 | A | 148,595 | D | |
| Class A Common StockF1,F3 | Mar 30, 2017 | S | 46,595 | $19.0473 | D | 102,000 | D | |
| Class A Common Stock | Mar 30, 2017 | M | 20,000 | $1.22 | A | 122,000 | D | |
| Class A Common StockF1,F3 | Mar 30, 2017 | S | 20,000 | $19.0473 | D | 102,000 | D | |
| Class A Common Stock | Mar 30, 2017 | M | 32,000 | $1.22 | A | 134,000 | D | |
| Class A Common StockF1,F3 | Mar 30, 2017 | S | 32,000 | $19.0473 | D | 102,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $0.49 | Mar 29, 2017 | M | 201,405 | D | — | Dec 8, 2021 | Class A Common Stock | 201,405 | 46,595 | D |
| Employee Stock Option (right to buy)F4 | $0.49 | Mar 30, 2017 | M | 46,595 | D | — | Dec 8, 2021 | Class A Common Stock | 46,595 | 0 | D |
| Employee Stock Option (right to buy)F5 | $1.22 | Mar 30, 2017 | M | 20,000 | D | — | Nov 15, 2022 | Class A Common Stock | 20,000 | 0 | D |
| Employee Stock Option (right to buy)F6 | $1.22 | Mar 30, 2017 | M | 32,000 | D | — | Jul 16, 2023 | Class A Common Stock | 32,000 | 18,000 | D |
Explanation of responses
- F1The sale reported was effected pursuant to the Reporting Person's 10b5-1 Plan.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $18.21 to $18.94. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- F3The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $18.82 to $19.19. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- F4Shares subject to the option are fully vested and immediately exercisable.
- F5The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on November 5, 2013 and 1/48th of the shares vest monthly thereafter.
- F6The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option vest in 48 equal monthly installments beginning on July 18, 2013.