SEC Form 4 · accession 0001618732-17-000215
Nutanix, Inc. · NTNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Duston Williams
Officer — Chief Financial Officer
Period of report
Dec 14, 2017
Accepted (ET)
Dec 18, 2017 · 5:20 pm EST
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 StockF1 | Dec 14, 2017 | M | 150,000 | $3.20 | A | 239,227 | D | |
| Class A Common StockF2 | Dec 14, 2017 | S | 150,000 | $35.3962 | D | 89,227 | D | |
| Class A Common Stock | Dec 15, 2017 | M | 150,000 | $3.20 | A | 239,227 | D | |
| Class A Common StockF3 | Dec 15, 2017 | S | 150,000 | $35.328 | D | 89,227 | 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,F5 | $3.20 | Dec 14, 2017 | M | 150,000 | D | — | Jun 18, 2024 | Class B Common Stock | 150,000 | 1,105,000 | D |
| Employee Stock Option (right to buy)F4,F5 | $3.20 | Dec 15, 2017 | M | 150,000 | D | — | Jun 18, 2024 | Class B Common Stock | 150,000 | 955,000 | D |
Explanation of responses
- F1Number of shares owned reflect shares acquired under the Nutanix, Inc. Employee Stock Purchase Plan ("ESPP") on September 20, 2017.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $35.30 to $35.45. 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 $35.00 to $35.57. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- F4The option is subject to an early exercise provision and is immediately exercisable. The shares subject to the option vest 21,875 shares monthly through June 9, 2018.
- F5Upon the execution of a same day sale of the Employee Stock Option the underlying shares convert into Class A common stock.