Filing Details
- Accession Number:
- 0001140361-18-013929
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-16 21:58:10
- Reporting Period:
- 2018-03-14
- Accepted Time:
- 2018-03-16 21:58:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1535379 | Cloudera Inc. | CLDR | Services-Prepackaged Software (7372) | 262922329 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1704325 | Michael Olson | C/O Cloudera, Inc. 1001 Page Mill Road, Building 3 Palo Alto CA 94304 | Chief Strategy Officer | 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 | Disposition | 2018-03-14 | 27,619 | $20.19 | 2,788,920 | No | 4 | S | Indirect | By Family Trust |
| Common Stock | Acquisiton | 2018-03-15 | 11,875 | $0.00 | 56,421 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-15 | 8,333 | $0.00 | 64,754 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-15 | 9,063 | $0.00 | 73,817 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-15 | 10,300 | $20.34 | 63,517 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Family Trust |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2018-03-15 | 11,875 | $0.00 | 11,875 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-03-15 | 8,333 | $0.00 | 8,333 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-03-15 | 9,063 | $0.00 | 9,063 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 35,625 | No | 4 | M | Direct | ||
| 66,667 | No | 4 | M | Direct | ||
| 108,750 | No | 4 | M | Direct |
Footnotes
- The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- Represents the aggregate of sales effected on the same day at different prices.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $19.94 to $20.37 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
- Shares directly held by the Michael and Teresa Olson Revocable Trust dated May 24, 2001, of which the Reporting Person is a trustee and may be deemed to share voting and dispositive power over these shares.
- Vesting and release of restricted stock units ("RSUs") granted to the reporting person on March 15, 2017.
- Vesting and release of RSUs granted to the reporting person on June 15, 2017.
- Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the settlement of vested RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.
- Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- The RSUs vested as to 1/8th of the total number of shares on March 15, 2017 and thereafter vested or will continue to vest as to 1/8th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
- The RSUs vested as to 1/12th of the total number of shares on June 15, 2017 and thereafter vested or will continue to vest as to 1/12th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
- The RSUs vested as to 1/16th of the total number of shares on June 15, 2017 and thereafter vested or will continue to vest as to 1/16th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
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