Filing Details
- Accession Number:
- 0001209191-21-056504
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-09-16 20:16:11
- Reporting Period:
- 2021-09-14
- Accepted Time:
- 2021-09-16 20:16:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1183231 | Jim Frankola | C/O Cloudera Inc. 5470 Great America Pkwy Santa Clara CA 95054 | Chief Financial 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 | 2021-09-14 | 100,000 | $15.93 | 1,203,661 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-09-14 | 200,000 | $15.93 | 1,003,661 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-09-15 | 10,625 | $0.00 | 1,014,286 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-09-15 | 23,907 | $0.00 | 1,038,193 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-09-15 | 46,555 | $0.00 | 1,084,748 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-09-15 | 5,461 | $0.00 | 1,090,209 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-09-15 | 40,660 | $15.93 | 1,049,549 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| 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 Unit | Disposition | 2021-09-15 | 10,625 | $0.00 | 10,625 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2021-09-15 | 23,907 | $0.00 | 23,907 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2021-09-15 | 46,555 | $0.00 | 46,555 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2021-09-15 | 5,461 | $0.00 | 5,461 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,250 | No | 4 | M | Direct | ||
| 119,536 | No | 4 | M | Direct | ||
| 232,775 | No | 4 | M | Direct | ||
| 49,149 | No | 4 | M | Direct |
Footnotes
- Represents the weighted average sales price per share. The shares sold at prices ranging from $15.93 to $15.935 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.
- Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- 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 RSUs will vest 1/16th of the total number of shares on June 15, 2018 and thereafter vest as to 1/16th of the total number of RSUs in equal quarterly installments, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- The RSUs will vest 1/16th of the total number of shares on March 15, 2019 and thereafter vest as to 1/16th of the total number of RSUs in equal quarterly installments, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- The RSUs will vest 2/12th of the total number of shares on June 15, 2020, and thereafter vest as to 1/12th of the total number of shares in equal quarterly installments until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- The RSUs will vest 1/12th of the total number of shares on March 15, 2021, and thereafter vest as to 1/12th of the total number of shares in equal quarterlyinstallments until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
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