SEC Form 4 · accession 0001209191-17-062188

Okta, Inc. · OKTA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Nov 17, 2017

Accepted (ET)

Nov 21, 2017 · 7:05 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001660134

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Class A Common Stock	Nov 17, 2017	C	2,400	$0.00	A	2,400	D
Class A Common Stock	Nov 17, 2017	C	200	$0.00	A	2,600	D
Class A Common Stock	Nov 17, 2017	S	2,600	$30.00	D	0	D

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	$7.17	Nov 17, 2017	M	2,400	D	—	Aug 27, 2025	Class B Common Stock	2,400	147,600	D
Employee Stock Option (Right to Buy)^F4	$8.97	Nov 17, 2017	M	200	D	—	Jul 29, 2026	Class B Common Stock	200	349,800	D
Class B Common Stock^F1	—	Nov 17, 2017	M	2,600	A	—	—	Class A Common Stock	2,600	2,600	D
Class B Common Stock^F1	—	Nov 17, 2017	C	2,600	D	—	—	Class A Common Stock	2,600	0	D
Employee Stock Option (Right to Buy)^F5	$1.40	holding	—	—	—	—	Aug 29, 2023	Class B Common Stock	337,020	337,020	D
Class B Common Stock^F1	—	holding	—	—	—	—	—	Class A Common Stock	361,422	361,422	I

F1Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
F2This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
F3The shares subject to the option shall vest in 48 equal monthly installments commencing on August 1, 2015, subject to the Reporting Person's continued employment with the Issuer through each vesting date. The option is early exercisable by the Reporting Person.
F420% of the shares subject to the option vested on July 29, 2017, 20% of the shares subject to the option shall vest on July 29, 2018, and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person.
F525% of the shares subject to the option vested on June 24, 2014, and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person.