SEC Form 4 · accession 0001618732-17-000107
Nutanix, Inc. · NTNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sudheesh Nair Vadakkedath
Officer — President
Period of report
Sep 11, 2017
Accepted (ET)
Sep 13, 2017 · 5:40 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 | Sep 11, 2017 | M | 25,000 | $3.20 | A | 110,519 | D | |
| Class A Common StockF1 | Sep 11, 2017 | S | 25,000 | $21.82 | D | 85,519 | D | |
| Class A Common Stock | Sep 12, 2017 | J | 200,000 | $0.00 | A | 285,519 | D | |
| Class A Common Stock | Sep 12, 2017 | M | 25,000 | $3.20 | A | 310,519 | D | |
| Class A Common StockF1 | Sep 12, 2017 | S | 25,000 | $21.99 | D | 285,519 | D | |
| Class A Common Stock | Sep 13, 2017 | M | 25,000 | $3.20 | A | 310,519 | D | |
| Class A Common StockF1 | Sep 13, 2017 | S | 25,000 | $21.82 | D | 285,519 | 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)F3,F4 | $3.20 | Sep 11, 2017 | M | 25,000 | D | — | May 19, 2024 | Class B Common Stock | 25,000 | 875,000 | D |
| Class B Common StockF5 | — | Sep 12, 2017 | J | 200,000 | D | — | — | Class A Common Stock | 200,000 | 127,500 | D |
| Employee Stock Option (right to buy)F3,F4 | $3.20 | Sep 12, 2017 | M | 25,000 | D | — | May 19, 2024 | Class B Common Stock | 25,000 | 850,000 | D |
| Employee Stock Option (right to buy)F3,F4 | $3.20 | Sep 13, 2017 | M | 25,000 | D | — | May 19, 2024 | Class B Common Stock | 25,000 | 825,000 | D |
Explanation of responses
- F1The sale reported was effected pursuant to the Reporting Person's 10b5-1 Plan.
- F2Reporting person has elected to convert to Class A Common Stock.
- F3The option is subject to an early exercise provision and is immediately exercisable. 12,500 shares vest each month beginning on November 1, 2016.
- F4Upon the execution of a same day sale of the Employee Stock Option the underlying shares convert into Class A common stock.
- F5Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock.