Statement of Changes in Beneficial Ownership (4)
September 09 2019 - 7:50PM
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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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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Taneja Vaibhav |
2. Issuer Name and Ticker or Trading Symbol
Tesla, Inc.
[
TSLA
]
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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 Accounting Officer
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(Last)
(First)
(Middle)
C/O TESLA, INC., 3500 DEER CREEK ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/5/2019
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(Street)
PALO ALTO, CA 94304
(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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9/5/2019
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M(1)
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77
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A
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$0.0
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1367 (2)
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D
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Common Stock
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9/5/2019
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M(1)
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108
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A
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$0.0
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1475
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D
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Common Stock
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9/5/2019
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M(1)
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26
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A
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$0.0
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1501
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D
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Common Stock
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9/5/2019
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M(1)
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72
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A
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$0.0
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1573
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D
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Common Stock
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9/6/2019
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F(3)
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27
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D
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$227.66
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1546
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D
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Common Stock
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9/6/2019
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F(3)
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38
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D
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$227.66
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1508
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D
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Common Stock
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9/6/2019
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F(3)
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10
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D
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$227.66
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1498
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D
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Common Stock
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9/6/2019
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F(3)
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26
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D
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$227.66
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1472
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D
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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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$0.0
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9/5/2019
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M
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77
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(4)
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(4)
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Common Stock
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77
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$0.0
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616
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D
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Restricted Stock Unit
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$0.0
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9/5/2019
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M
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108
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(5)
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(5)
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Common Stock
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108
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$0.0
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1187
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D
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Restricted Stock Unit
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$0.0
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9/5/2019
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M
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26
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(6)
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(6)
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Common Stock
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26
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$0.0
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440
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D
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Restricted Stock Unit
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$0.0
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9/5/2019
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M
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72
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(7)
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(7)
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Common Stock
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72
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$0.0
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945
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D
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Explanation of Responses:
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(1)
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Shares of the Issuer's common stock were issued to the reporting person upon the vesting of restricted stock units on September 5, 2019.
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(2)
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Amount of securities beneficially owned includes 14 shares acquired under the Tesla, Inc. Employee Stock Purchase Plan on August 30, 2019.
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(3)
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PURSUANT TO THE ISSUER'S EQUITY PLAN AND POLICIES, SHARES OF COMMON STOCK WERE AUTOMATICALLY WITHHELD AND SOLD BY THE ISSUER TO SATISFY THE REPORTING PERSON'S TAX WITHHOLDING OBLIGATIONS RELATED TO THE VESTING OF RESTRICTED STOCK UNITS REPORTED HEREIN.
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(4)
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1/16th of the total restricted stock units initially subject to this award vested on December 5, 2017, and 1/16th of the total units initially subject to this award vest every three months thereafter, so that all such shares subject to this award will be fully vested as of September 5, 2021.
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(5)
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1/16th of the total restricted stock units initially subject to this award vested on September 5, 2018, and 1/16th of the total units initially subject to this award vest every three months thereafter, so that all such shares subject to this award will be fully vested as of June 5, 2022.
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(6)
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1/20th of the total restricted stock units initially subject to this award vested on March 5, 2019 and 1/20th of the total units initially subject to this award vest every three months thereafter, so that all such shares subject to this award will be fully vested by December 5, 2023.
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(7)
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1/16th of the total restricted stock units initially subject to this award vested on March 5, 2019, and 1/16th of the total units initially subject to this award vest every three months thereafter, so that all such shares subject to this award will be fully vested as of December 5, 2022.
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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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Taneja Vaibhav C/O TESLA, INC. 3500 DEER CREEK ROAD PALO ALTO, CA 94304
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Chief Accounting Officer
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Signatures
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By: Aaron Beckman, Power of Attorney For: Vaibhav Taneja
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9/9/2019
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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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