Statement of Changes in Beneficial Ownership (4)
September 22 2016 - 5:54PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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SINDELAR CORY
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2. Issuer Name
and
Ticker or Trading Symbol
Violin Memory Inc
[
VMEM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer
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(Last)
(First)
(Middle)
VIOLIN MEMORY, INC.,, 4555 GREAT AMERICA PARKWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/20/2016
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(Street)
SANTA CLARA, CA 95054
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/20/2016
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M
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721
(1)
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A
(2)
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(2)
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58024
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D
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Common Stock
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9/20/2016
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M
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481
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A
(3)
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(3)
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58505
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D
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Common Stock
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5084
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I
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By Toni and Cory Sindelar as Community Property
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(4)
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9/20/2016
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M
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1172
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(2)
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(2)
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Common Stock
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1172
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$0.00
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4688
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D
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Restricted Stock Unit
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(4)
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9/20/2016
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M
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782
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(3)
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(3)
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Common Stock
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782
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$0.00
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7812
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D
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Explanation of Responses:
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(
1)
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Effective July 5, 2016, Violin Memory, Inc. effected a 1-for-4 reverse stock split. All amounts reflected in this Form 4 are post-split.
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(
2)
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This grant previously was reported as a grant, on September 3, 2013, of 75,000 restricted stock units. Reflecting the 1-for-4 reverse stock split effective July 5, 2016, the reporting person has vested 1,172 of the 18,750 restricted stock units granted on September 3, 2013, of which 451 were withheld for taxes.
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(
3)
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This grant previously was reported as a grant, on March 9, 2015, of 50,000 restricted stock units. Reflecting the 1-for-4 reverse stock split effective July 5, 2016, the reporting person has vested 782 of the 12,500 restricted stock units granted on March 9, 2015, of which 481 were withheld for taxes.
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(
4)
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Each restricted stock unit represents the right to receive one share of the common stock of Violin Memory, Inc.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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SINDELAR CORY
VIOLIN MEMORY, INC.,
4555 GREAT AMERICA PARKWAY
SANTA CLARA, CA 95054
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Chief Financial Officer
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Signatures
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Gary Lloyd, by Power of Attorney
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9/22/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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