Filing Details
- Accession Number:
- 0001567619-19-023390
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-12-18 21:01:02
- Reporting Period:
- 2019-12-15
- Accepted Time:
- 2019-12-18 21:01:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1535379 | Cloudera Inc. | CLDR | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1415326 | Scott Reasoner | C/O Cloudera, Inc. 395 Page Mill Road Palo Alto CA 94089 | Chief Accounting 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 | Acquisiton | 2019-12-15 | 1,138 | $0.00 | 97,416 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-12-15 | 3,416 | $0.00 | 100,832 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-12-15 | 18,215 | $0.00 | 119,047 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-12-15 | 11,290 | $11.04 | 107,757 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2019-12-16 | 1,722 | $11.18 | 106,035 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2019-12-15 | 1,138 | $0.00 | 1,139 | $0.00 |
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2019-12-15 | 3,416 | $0.00 | 3,416 | $0.00 |
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2019-12-15 | 18,215 | $0.00 | 18,215 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,662 | No | 4 | M | Direct | ||
| 40,984 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct |
Footnotes
- Vesting and release of RSUs granted to the reporting person on April 17, 2019.
- Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- Vesting and release of RSUs granted to the reporting person on January 17, 2019.
- Vesting and release of RSUs granted to the reporting person on January 17, 2019.
- 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.
- The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.16 to $11.20 per share, 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 written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The RSUs vested as to 1/16th of the total number of shares on March 15, 2019, and thereafter shall vest as to 1/16th of the total number of shares in equal quarterly installments, subject to Reporting Person's continued service through each vesting date.
- The RSUs shall vest and be settled as to 1/16th of the total number shares on each quarterly anniversary date of December 15, 2018, subject to reporting person's continued service through each vesting date.
- The RSUs vested 100% on December 15, 2019, subject to reporting person's continued service through the vesting date.
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