Initial Statement of Beneficial Ownership (3)
September 29 2016 - 6:24PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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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
*
Pandey Dheeraj
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2. Date of Event Requiring Statement (MM/DD/YYYY)
9/29/2016
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3. Issuer Name
and
Ticker or Trading Symbol
Nutanix, Inc. [NTNX]
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(Last)
(First)
(Middle)
C/O NUTANIX, INC., 1740 TECHNOLOGY DRIVE, SUITE 150
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
CEO and Chairman /
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(Street)
SAN JOSE, CA 95110
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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4756592
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I
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See footnote
(2)
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Common Stock
(1)
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2500000
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I
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See footnote
(3)
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Common Stock
(1)
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2000000
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I
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See footnote
(4)
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Common Stock
(1)
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500000
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I
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See footnote
(5)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Employee Stock Option (right to buy)
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(6)
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3/27/2022
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Common Stock
(1)
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886000
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$0.49
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D
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Employee Stock Option (right to buy)
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(6)
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6/12/2022
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Common Stock
(1)
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705000
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$0.49
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D
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Employee Stock Option (right to buy)
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(7)
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9/16/2026
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Common Stock
(1)
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500000
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$12.00
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D
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Restricted Stock Units
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(8)
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(8)
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Common Stock
(1)
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600000
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(9)
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D
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Explanation of Responses:
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(
1)
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Each share of common stock shall be 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.
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(
2)
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The shares are held of record by The Pandey Revocable Trust for which the Reporting Person and his spouse serve as trustees.
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(
3)
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The shares are held of record by The Pandey Irrevocable Descendants' Trust for which the Reporting Person's spouse serves as trustee.
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(
4)
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The shares are held of record by The Pandey 2016 Annuity Trust for which the Reporting Person serves as trustee.
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(
5)
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The shares are held of record by The Swapna Pandey 2014 Irrevocable Descendant's Trust for which the Reporting Person serves as trustee.
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(
6)
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Shares subject to the option are fully vested and immediately exercisable.
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(
7)
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Shares subject to the option vest in 48 equal monthly installments beginning on October 16, 2016.
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(
8)
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On April 28, 2017, 450,000 restricted stock units, or RSUs, vest and become issuable and the remaining RSUs vest in four equal quarterly installments beginning on July 15, 2017.
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(
9)
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Each RSU represents a contingent right to receive one share of Issuer common stock.
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Remarks:
Exhibit 24 - Power of Attorney
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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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Pandey Dheeraj
C/O NUTANIX, INC.
1740 TECHNOLOGY DRIVE, SUITE 150
SAN JOSE, CA 95110
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X
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CEO and Chairman
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Signatures
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/s/ Olive Huang, by power of attorney
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9/29/2016
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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 5(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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