Statement of Changes in Beneficial Ownership (4)
April 02 2021 - 5:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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
*
Blum Steven M |
2. Issuer Name and Ticker or Trading Symbol
Autodesk, Inc.
[
ADSK
]
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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 Revenue Officer |
(Last)
(First)
(Middle)
111 MCINNIS PKWY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2021 |
(Street)
SAN RAFAEL, CA 94903
(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 | 3/31/2021 | | S(1) | | 404 | D | $269.79 | 25888 | I | Family Trust (2) |
Common Stock | 3/31/2021 | | S(1) | | 600 | D | $273.69 (3) | 25288 | I | Family Trust (2) |
Common Stock | 3/31/2021 | | S(1) | | 1200 | D | $274.94 (4) | 24088 | I | Family Trust (2) |
Common Stock | 3/31/2021 | | S(1) | | 4660 | D | $276.10 (5) | 19428 | I | Family Trust (2) |
Common Stock | 3/31/2021 | | S(1) | | 978 | D | $277.32 (6) | 18450 | I | Family Trust (2) |
Common Stock | 3/31/2021 | | S(1) | | 1353 | D | $277.95 (7) | 17097 | I | Family Trust (2) |
Common Stock | | | | | | | | 17444 (8)(9) | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/17/2020. |
(2) | The shares are held by the BLUM FAM DECL. TR U/A/D 4/20/06 (the "Family Trust"). The reporting person is a trustee of the Family Trust. The reporting person disclaims beneficial ownership of the shares held by the Family Trust except to the extent of his proportionate pecuniary interest
therein. |
(3) | Shares were sold in various amounts from $273.35 to $274.186 inclusive. The price listed here reflects the average weighted price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(4) | Shares were sold in various amounts from $274.49 to $275.241 inclusive. The price listed here reflects the average weighted price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | Shares were sold in various amounts from $275.50 to $276.49 inclusive. The price listed here reflects the average weighted price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(6) | Shares were sold in various amounts from $276.86 to $277.85 inclusive. The price listed here reflects the average weighted price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(7) | Shares were sold in various amounts from $277.90 to $278.01 inclusive. The price listed here reflects the average weighted price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(8) | The total securities beneficially owned includes 17,272 shares of unvested Restricted Stock Units. |
(9) | Includes shares acquired in March 2021 pursuant to the Issuer's Employee Stock Purchase Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Blum Steven M 111 MCINNIS PKWY SAN RAFAEL, CA 94903 |
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| Chief Revenue Officer |
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Signatures
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Melissa Hoge, Attorney-in-Fact for Steven Blum | | 4/1/2021 |
**Signature of Reporting Person | Date |
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