Filing Details
- Accession Number:
- 0001209191-14-025592
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-03 17:21:55
- Reporting Period:
- 2014-04-01
- Filing Date:
- 2014-04-03
- Accepted Time:
- 2014-04-03 17:21:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1353283 | Splunk Inc | SPLK | Services-Prepackaged Software (7372) | 861106510 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1226526 | R Leonard Stein | C/O Splunk Inc. 250 Brannan Street San Francisco CA 94107 | Svp, General Counsel & Sec. | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-04-01 | 4,000 | $2.14 | 89,274 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-04-01 | 1,000 | $4.82 | 90,274 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-04-01 | 900 | $71.63 | 89,374 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-04-01 | 800 | $72.89 | 88,574 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-04-01 | 2,600 | $73.90 | 85,974 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-04-01 | 700 | $74.74 | 85,274 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-04-01 | 4,000 | $0.00 | 4,000 | $2.14 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2014-04-01 | 1,000 | $0.00 | 1,000 | $4.82 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 136,528 | 2021-04-20 | No | 4 | M | Direct | |
| 22,000 | 2021-12-14 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 21, 2013.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.34 to $72.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (5) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.41 to $73.29, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.53 to $74.18, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.58 to $74.97, inclusive.
- The option, representing a right to purchase a total of 500,000 shares, is subject to an early exercise provision pursuant to which 89,800 shares are immediately exercisable. One-fourth of the shares subject to the option vested on April 4, 2012 and one forty-eighth of the shares vest monthly thereafter.
- One-fourth of the shares subject to the option vested on December 15, 2012 and one forty-eighth of the shares vest monthly thereafter.
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