Filing Details
- Accession Number:
- 0001618732-20-000128
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-07 19:18:04
- Reporting Period:
- 2020-10-05
- Accepted Time:
- 2020-10-07 19:18:04
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1618732 | Nutanix Inc. | NTNX | Services-Prepackaged Software (7372) | 270989767 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1685495 | Dheeraj Pandey | C/O Nutanix, Inc. 1740 Technology Drive, Suite 150 San Jose CA 95110 | Ceo And Chairman | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-10-05 | 682,285 | $0.00 | 682,285 | No | 4 | J | Indirect | See Footnote |
| Class A Common Stock | Disposition | 2020-10-05 | 98,220 | $22.11 | 584,065 | No | 4 | S | Indirect | See Footnote |
| Class A Common Stock | Disposition | 2020-10-06 | 281,837 | $22.02 | 302,228 | No | 4 | S | Indirect | See Footnote |
| Class A Common Stock | Disposition | 2020-10-07 | 302,228 | $21.56 | 0 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | Disposition | 2020-10-05 | 682,285 | $0.00 | 682,285 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,579,818 | No | 4 | J | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 52,208 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Class B Common Stock | $0.00 | 2,932,000 | 2,932,000 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 68,000 | 68,000 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 381,218 | 381,218 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 381,218 | 381,218 | Indirect | ||
| Class A Common Stock | Class B Common Stock | $0.00 | 381,218 | 381,218 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2,932,000 | 2,932,000 | Indirect | |
| 68,000 | 68,000 | Indirect | |
| 381,218 | 381,218 | Indirect | |
| 381,218 | 381,218 | Indirect | |
| 381,218 | 381,218 | Indirect |
Footnotes
- Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock. In addition, each share of Class B common stock will convert automatically into one share of Class A common stock upon (i) the date specified by affirmative vote or written consent of the holders of at least 67% of the outstanding shares of Class B common stock, (ii) any transfer, whether or not for value, subject to certain limited exceptions, (iii) the death of a natural person (including shares held by his or her permitted estate planning entities holding Class B common stock), or (iv) October 5, 2033.
- The reporting person has elected to convert the securities from Class B common stock into Class A common stock.
- The shares are held of record by The Pandey Revocable Trust for which the Reporting Person and his spouse serve as trustees.
- The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $22.00 to $22.40. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $21.50 to $22.50. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $21.35 to $21.865. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- Each share of common stock was reclassified into one share of Class B common stock immediately prior to the completion of the Issuer's initial public offering of Class A common stock in an exempt transaction pursuant to Rule 16b-7.
- The shares are held of record by The Pandey 2017 Irrevocable Descendants' Trust for which the Reporting Person and his spouse serve as trustees.
- The shares are held of record by The Pandey 2012 Irrevocable Descendants' Trust for which the Reporting Person's spouse serves as trustees.
- The shares are held of record by the Pandey 2016 Annuity trust, for which the Reporting Person serves as trustee, for the benefit of the Reporting Person's minor child.
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