SEC Form 4 · accession 0001209191-17-003189
Autodesk, Inc. · ADSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carl Bass
Officer — Chief Executive Officer · Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 10, 2017 · 4:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000769397
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 9, 2017 | M | 100,000 | $43.81 | A | 216,612 | D | |
| Common StockF3,F1 | Jan 9, 2017 | S | 99,356 | $78.8847 | D | 117,256 | D | |
| Common StockF4,F1 | Jan 9, 2017 | S | 644 | $79.3471 | D | 116,612 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F5 | $43.81 | Jan 9, 2017 | M | 100,000 | D | Mar 24, 2012 | Mar 24, 2021 | Common Stock | 100,000 | 97,718 | D |
Explanation of responses
- F1The total securities beneficially owned includes 112,833 shares of unvested restricted stock units.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 23, 2016.
- F3Shares were sold in various amounts from $78.30 to $79.26 inclusive. The price listed here reflects the average weighted price.
- F4Shares were sold in various amounts from $79.30 to $79.47 inclusive. The price listed here reflects the average weighted price.
- F5The option vests over a four-year period beginning on 03/24/2011 at the rate of 75,000 shares on each of the first, second, and third anniversaries, and 72,718 shares on the fourth anniversary.