SEC Form 4 · accession 0001618732-17-000136
Nutanix, Inc. · NTNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sudheesh Nair Vadakkedath
Officer — President
Period of report
Oct 9, 2017
Accepted (ET)
Oct 11, 2017 · 4:25 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 | Oct 9, 2017 | M | 25,000 | $3.20 | A | 323,330 | D | |
| Class A Common StockF1 | Oct 9, 2017 | S | 25,000 | $23.14 | D | 298,330 | D | |
| Class A Common Stock | Oct 10, 2017 | M | 25,000 | $3.20 | A | 323,330 | D | |
| Class A Common StockF1 | Oct 10, 2017 | S | 25,000 | $25.00 | D | 298,330 | D | |
| Class A Common StockF1 | Oct 10, 2017 | S | 40,000 | $25.00 | D | 258,330 | 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)F2,F3 | $3.20 | Oct 9, 2017 | M | 25,000 | D | — | May 19, 2024 | Class B Common Stock | 25,000 | 700,000 | D |
| Employee Stock Option (right to buy)F2,F3 | $3.20 | Oct 10, 2017 | M | 25,000 | D | — | May 19, 2024 | Class B Common Stock | 25,000 | 675,000 | D |
Explanation of responses
- F1The sale reported was effected pursuant to the Reporting Person's 10b5-1 Plan.
- F2The option is subject to an early exercise provision and is immediately exercisable. 12,500 shares vest each month beginning on November 1, 2016.
- F3Upon the execution of a same day sale of the Employee Stock Option the underlying shares convert into Class A common stock.