SEC Form 4/A · accession 0000896878-18-000113
INTUIT INC. · INTU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Brad D Smith
Officer — Chairman, CEO & President · Director
Period of report
Jul 1, 2018
Accepted (ET)
Jul 20, 2018 · 5:19 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 | Jul 1, 2018 | M | 9,814 | $0.00 | A | 298,737 | D | |
| Common Stock | Jul 1, 2018 | M | 11,938 | $0.00 | A | 310,675 | D | |
| Common Stock | Jul 1, 2018 | M | 387 | $0.00 | A | 311,062 | D | |
| Common Stock | Jul 1, 2018 | F | 10,442 | $204.305 | D | 300,620 | 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 UnitF1,F2,F5 | — | Jul 1, 2018 | M | 9,814 | D | — | — | Common Stock | 9,814 | 9,427 | D |
| Restricted Stock UnitF1,F3,F5 | — | Jul 1, 2018 | M | 11,938 | D | — | — | Common Stock | 11,938 | 23,463 | D |
| Restricted Stock UnitF1,F4,F5 | — | Jul 1, 2018 | M | 387 | D | — | — | Common Stock | 387 | 25,613 | D |
Explanation of responses
- F11-for-1
- F2For this award granted 7/23/2015, one third of the restricted stock units vested on each of 7/1/2016, 7/1/2017, and 7/1/2018 with each tranche of vested restricted stock units subject to deferred release for one year after vesting date. This reported number represents the sum of unreleased RSUs vested 7/1/2017 and 440 RSUs vested 7/1/2018 for which the issuer accelerated release to accommodate forfeiture of shares related to tax withholding obligations.
- F3For this award granted 7/21/2016, one third of the restricted stock units vest on each of 7/1/2017, 7/1/2018, and 7/1/2019 with each tranche of vested restricted stock units subject to deferred release for one year after vesting date. This reported number represents the sum of unreleased RSUs vested 7/1/2017 and 535 RSUs vested 7/1/2018 for which the issuer accelerated release to accommodate forfeiture of shares related to tax withholding obligations.
- F4For this award granted 7/20/2017, one third of the restricted stock units vest on each of 7/1/2018, 7/1/2019, and 7/1/2020 with each tranche of vested restricted stock units subject to deferred release for one year after vesting date. The issuer has accelerated the issuance of this portion of the vested and unreleased RSUs to accommodate forfeiture of shares related to tax withholding obligations.
- F5Restricted stock units do not expire; they either vest or are canceled prior to vesting date.
Remarks
This amended Form 4 replaces the Form 4 filed on 7/3/2018 in its entirety, due to corrections to shares withheld by the issuer to satisfy the tax withholding obligations of the reporting person.