Initial Statement of Beneficial Ownership (3)
September 29 2016 - 6:30PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ting Howard
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/29/2016
|
3. Issuer Name
and
Ticker or Trading Symbol
Nutanix, Inc. [NTNX]
|
(Last)
(First)
(Middle)
C/O NUTANIX, INC., 1740 TECHNOLOGY DRIVE, SUITE 150
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Marketing Officer /
|
(Street)
SAN JOSE, CA 95110
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
(1)
|
365000
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Stock Option (right to buy)
|
(2)
|
4/13/2021
|
Common Stock
(1)
|
10000
|
$0.05
|
D
|
|
Employee Stock Option (right to buy)
|
(3)
|
11/15/2022
|
Common Stock
(1)
|
300000
|
$1.22
|
D
|
|
Employee Stock Option (right to buy)
|
(4)
|
5/19/2024
|
Common Stock
(1)
|
200000
|
$3.20
|
D
|
|
Restricted Stock Units
|
(5)
|
(5)
|
Common Stock
(1)
|
150000
|
(6)
|
D
|
|
Explanation of Responses:
|
(
1)
|
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.
|
(
2)
|
Shares subject to the option are fully vested and immediately exercisable.
|
(
3)
|
An option to purchase 700,000 shares was granted on November 16, 2012 and was exercised in part prior to the date on which the Reporting Person became subject to Section 16. The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on November 1, 2013 and 1/48th of the shares vest monthly thereafter.
|
(
4)
|
The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option vest in 36 equal monthly installments beginning on May 1, 2016.
|
(
5)
|
The restricted stock units, or RSUs, vest in 16 equal quarterly installments beginning on April 1, 2017.
|
(
6)
|
Each RSU represents a contingent right to receive one share of Issuer common stock.
|
Remarks:
Exhibit 24 - Power of Attorney
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Ting Howard
C/O NUTANIX, INC.
1740 TECHNOLOGY DRIVE, SUITE 150
SAN JOSE, CA 95110
|
|
|
Chief Marketing Officer
|
|
Signatures
|
/s/ Olive Huang, by power of attorney
|
|
9/29/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Nutanix (NASDAQ:NTNX)
Historical Stock Chart
From Aug 2024 to Sep 2024
Nutanix (NASDAQ:NTNX)
Historical Stock Chart
From Sep 2023 to Sep 2024