SEC Form 4 · accession 0000896878-16-000299
INTUIT INC. · INTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel A Wernikoff
Officer — EVP, Consumer Tax Group
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 7:16 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 | 9,030 | $0.00 | A | 12,607 | D | |
| Common Stock | Sep 1, 2016 | M | 29,798 | $0.00 | A | 42,405 | D | |
| Common Stock | Sep 1, 2016 | F | 20,261 | $112.34 | D | 22,144 | 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 | 9,030 | D | Sep 1, 2016 | — | Common Stock | 9,030 | 0 | D |
| Restricted Stock Unit (performance-based vesting)F5,F1,F3,F4 | — | Sep 1, 2016 | M | 29,798 | D | Sep 1, 2016 | — | Common Stock | 29,798 | 0 | D |
Explanation of responses
- F11-for-1
- F2Represents the vested units pursuant to the 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.
- 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 vested units pursuant to the Restricted Stock Unit (performance-based vesting) grant related to achievement of certain total shareholder return objectives; the balance of the granted units were canceled.