SEC Form 4 · accession 0000896878-16-000297
INTUIT INC. · INTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brad D Smith
Officer — Chairman, CEO & President · Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 7:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000896878
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 1, 2016 | M | 38,566 | $0.00 | A | 177,558 | D | |
| Common Stock | Sep 1, 2016 | M | 23,100 | $0.00 | A | 200,658 | D | |
| Common Stock | Sep 1, 2016 | M | 23,940 | $0.00 | A | 224,598 | D | |
| Common Stock | Sep 1, 2016 | M | 77,982 | $0.00 | A | 302,580 | D | |
| Common Stock | Sep 1, 2016 | F | 85,362 | $112.34 | D | 217,218 | D | |
| Common Stock | Sep 2, 2016 | G | 4,470 | $0.00 | D | 212,748 | D | |
| Common Stock | Sep 6, 2016 | G | 4,460 | $0.00 | D | 208,288 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit (performance-based vesting)F2,F1,F3,F4 | — | Sep 1, 2016 | M | 23,100 | D | Sep 1, 2016 | — | Common Stock | 23,100 | 0 | D |
| Restricted Stock Unit (performance-based vesting)F5,F1,F3,F4 | — | Sep 1, 2016 | M | 38,566 | D | Sep 1, 2016 | — | Common Stock | 38,566 | 0 | D |
| Restricted Stock Unit (performance-based vesting)F6,F1,F3,F4 | — | Sep 1, 2016 | M | 23,940 | D | Sep 1, 2016 | — | Common Stock | 23,940 | 0 | D |
| Restricted Stock Unit (performance-based vesting)F7,F1,F3,F4 | — | Sep 1, 2016 | M | 77,982 | D | Sep 1, 2016 | — | Common Stock | 77,982 | 0 | D |
Explanation of responses
- F11-for-1
- F2Represents the second and final vesting tranche pursuant to the Restricted Stock Unit (performance-based vesting) grant related to achievement of certain pre-established 3-year operating goals awarded 7/20/2011.
- F3Represents vesting date for restricted stock units.
- F4Restricted stock units have no expiration date; they either vest or are canceled prior to vesting date.
- F5Represents the second and final vesting tranche pursuant to the Restricted Stock Unit (performance-based vesting) grant related to achievement of certain total shareholder return objectives awarded 7/20/2011.
- F6Represents the vested units pursuant to a Restricted Stock Unit (performance-based vesting) grant related to achievement of certain pre-established 3-year operating goals; the balance of the granted units were canceled.
- F7Represents the vested units pursuant to a Restricted Stock Unit (performance-based vesting) grant related to achievement of certain total shareholder return objectives; the balance of the granted units were canceled.