Statement of Changes in Beneficial Ownership (4)
March 02 2021 - 5:04PM
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
*
Pech Cedric |
2. Issuer Name and Ticker or Trading Symbol
MongoDB, Inc.
[
MDB
]
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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)
C/O MONGODB, INC., 1633 BROADWAY, 38TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/26/2021 |
(Street)
NEW YORK, NY 10019
(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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Class A Common Stock | 2/26/2021 | | A | | 14554 (1) | A | $0 | 55494 | D | |
Class A Common Stock | 3/1/2021 | | M(2) | | 5729 | A | $8.40 | 102804 | I | By KW Investments SRL (3) |
Class A Common Stock | 3/1/2021 | | S(2)(4) | | 519 | D | $391.03 | 102285 | I | By KW Investments SRL (3) |
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 |
Employee Stock Option (Right to Buy) | $8.4 | 3/1/2021 | | M (2) | | | 5729 | (5) | 4/5/2027 | Class A Common Stock | 5729.0 | $0 | 22917 | I | By KW Investments SRL (3) |
Explanation of Responses: |
(1) | This security represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Class A Common Stock of the Issuer. This RSU award vests in equal quarterly installments over four years measured from April 1, 2021, subject to the Reporting Person's continued service with the Issuer. |
(2) | The transaction was pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
(3) | KW Investments SRL is an Italian limited liability company owned by the Reporting Person and the Reporting Person's spouse. |
(4) | Represents the sale of shares of Class A common stock to satisfy the exercise price and the Reporting Person's tax withholding obligations in connection with the Reporting Person's exercise of options. |
(5) | All shares underlying this option are immediately exercisable, subject to a repurchase right in the Issuer's favor which lapses in accordance with the option's vesting schedule. The remaining shares shall vest in 4 equal monthly installments beginning on April 1, 2021, subject to the Reporting Person providing continuous service to the Issuer on each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Pech Cedric C/O MONGODB, INC. 1633 BROADWAY, 38TH FLOOR NEW YORK, NY 10019 |
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| Chief Revenue Officer |
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Signatures
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/s/ Sophie Hubscher, Attorney-in-Fact | | 3/2/2021 |
**Signature of Reporting Person | Date |
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