Filing Details
- Accession Number:
- 0001407739-17-000092
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-08-01 16:20:04
- Reporting Period:
- 2017-07-28
- Filing Date:
- 2017-08-01
- Accepted Time:
- 2017-08-01 16:20:04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1407739 | Dupont Fabros Technology Inc. | DFT | Real Estate (6500) | 208718331 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1415043 | J Lammot Pont Du | 401 9Th Street, Nw Suite 600 Washington DC 20004 | Chairman Of The Board | Yes | 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 | 2017-07-28 | 96,185 | $5.06 | 215,673 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2017-07-28 | 96,185 | $61.05 | 119,488 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-07-31 | 135,297 | $5.06 | 254,785 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-07-31 | 55,556 | $19.89 | 310,341 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-07-31 | 9,147 | $23.79 | 319,488 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2017-07-31 | 200,000 | $61.69 | 119,489 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified Stock Option | Disposition | 2017-07-28 | 96,185 | $0.00 | 96,185 | $5.06 |
| Common Stock | Non-qualified Stock Option | Disposition | 2017-07-31 | 135,297 | $0.00 | 135,297 | $5.06 |
| Common Stock | Non-qualified Stock Option | Disposition | 2017-07-31 | 55,556 | $0.00 | 55,556 | $19.89 |
| Common Stock | Non-qualified Stock | Disposition | 2017-07-31 | 9,147 | $0.00 | 9,147 | $23.79 |
| Common Stock | OP Units | Disposition | 2017-07-28 | 91,300 | $0.00 | 91,300 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 135,297 | 2019-02-26 | No | 4 | M | Direct | |
| 0 | 2019-02-26 | No | 4 | M | Direct | |
| 0 | 2020-02-25 | No | 4 | M | Direct | |
| 146,680 | 2021-02-24 | No | 4 | M | Direct | |
| 1,501,119 | No | 4 | J | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 33,972 | Indirect | By Corporation |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | OP Units | $0.00 | 204,095 | 204,095 | Indirect | ||
| Common Stock | OP Units | $0.00 | 289,025 | 289,025 | Indirect | ||
| Common Stock | OP Units | $0.00 | 1,250,109 | 1,250,109 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 204,095 | 204,095 | Indirect | |
| 289,025 | 289,025 | Indirect | |
| 1,250,109 | 1,250,109 | Direct |
Footnotes
- Represents the weighted average per share sale price, with per share sale price ranging from $61.00 to $61.65. Upon request by the Commission, the reporting person will provide full information regarding the number of shares sold at each separate price.
- Represents the weighted average per share sale price, with per share sale price ranging from $61.37 to $62.235. Upon request by the Commission, the reporting person will provide full information regarding the number of shares sold at each separate price.
- Added 1 share of stock to correct an error.
- Stock option vests one third on each of March 1, 2010, 2011, and 2012
- Stock option vests one third on each of March 1, 2011, 2012, and 2013.
- Stock option vests one third on each of March 1, 2012, 2013, and 2014.
- "OP Units" represent limited partner interests of DuPont Fabros Technology, L.P., a Maryland limited partnership (the "OP"), the operating partnership of DuPont Fabros Technology, Inc. (the "Issuer"), of which the Issuer is the sole general partner. OP Units are redeemable twelve (12) months from the transaction date pursuant to which the OP units were issued for cash equal to the ten-current market value of one share of the Issuer's common stock, or, at the election of the Issuers, and equal number of shares of the Issuer's common stock.
- These OP Units were transferred by an entity controlled by Mr. du Pont to a grantor trust for cash of equal value. The aggregate value was $5,605,820.00, determined by the reference to the mid point of the reported high and low price of the Issuer's common stock on the NYSE on July, 28, 2017, which was $61.40.
- All of these OP Units are immediately redeemable (subject to certain limitations set forth in agreement of limited partnership of the OP). OP Units have no expiration date.
- The OP Unites were originally received in exchange for direct or indirect contribution to the OP of certain partnership, membership, or ownership interests in, of property of, certain partnerships or limited liability companies which own, directly or indirectly, certain properties in Illinois, New Jersey, Virginia, and/or the District of Columbia, in connection with the Issuer's initial public offering, the value which was $21.00 per OP Unit based on the price of common stock of the Issuer at the time of the Issuer's public offering.
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