Statement of Changes in Beneficial Ownership (4)
March 31 2017 - 6:17AM
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).
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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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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Mhatre Ravi
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2. Issuer Name
and
Ticker or Trading Symbol
Nutanix, Inc.
[
NTNX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O LIGHTSPEED VENTURE PARTNERS, 2200 SAND HILL ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/28/2017
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(Street)
MENLO PARK, CA 94025
(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
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2/27/2017
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C
(1)
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10352222
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A
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(1)
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10352222
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I
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By Lightspeed Venture Partners VII, L.P.
(2)
(3)
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Class A Common Stock
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3/15/2017
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C
(1)
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3612374
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A
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(1)
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3612374
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I
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By Lightspeed Venture Partners VIII, L.P.
(4)
(5)
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Class A Common Stock
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3/28/2017
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J
(6)
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2860446
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D
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(6)
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7491776
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I
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By Lightspeed Venture Partners VII, L.P.
(2)
(3)
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Class A Common Stock
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3/28/2017
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J
(6)
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736566
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A
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(6)
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736566
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I
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By Lightspeed General Partner VII, L.P.
(7)
(3)
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Class A Common Stock
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3/28/2017
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J
(8)
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736566
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D
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(8)
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0
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I
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By Lightspeed General Partner VII, L.P.
(7)
(3)
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Class A Common Stock
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3/28/2017
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J
(8)
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109853
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A
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(8)
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109853
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D
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Class A Common Stock
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3/28/2017
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J
(10)
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1430223
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D
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(10)
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2182151
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I
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By Lightspeed Venture Partners VIII, L.P.
(4)
(5)
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Class A Common Stock
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3/28/2017
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J
(10)
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332886
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A
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(10)
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332886
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I
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By Lightspeed General Partner VIII, L.P.
(11)
(5)
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Class A Common Stock
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3/28/2017
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J
(12)
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332886
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D
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(12)
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0
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I
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By Lightspeed General Partner VIII, L.P.
(11)
(5)
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Class A Common Stock
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3/28/2017
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J
(12)
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44581
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A
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(12)
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44581
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I
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By Mhatre Investments LP - Fund 1
(9)
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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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Class B Common Stock
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(1)
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2/27/2017
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C
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10352222
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(1)
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(1)
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Class A Common Stock
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10352222
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(1)
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0
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I
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See footnotes
(2)
(3)
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Class B Common Stock
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(1)
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3/15/2017
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C
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3612374
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(1)
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(1)
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Class A Common Stock
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3612374
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(1)
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14449498
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I
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See footnotes
(4)
(5)
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Class B Common Stock
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(14)
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(14)
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(14)
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Class A Common Stock
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190363
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190363
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I
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See footnote
(13)
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Explanation of Responses:
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(
1)
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Represents conversion of shares of the Issuer's Class B Common Stock into shares of the Issuer's Class A Common Stock on a 1-for-1 basis. The convertibility of the Class B Common Stock has no expiration date.
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(
2)
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The shares are held of record by Lightspeed Venture Partners VII, L.P. ("Lightspeed VII").
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(
3)
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Lightspeed Ultimate General Partner VII, Ltd. is the sole general partner of Lightspeed General Partner VII, L.P. ("LGP VII"), which is the sole general partner of Lightspeed VII. The individual directors of Lightspeed Ultimate General Partner VII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
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(
4)
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The shares are held of record by Lightspeed Venture Partners VIII, L.P. ("Lightspeed VIII").
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(
5)
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Lightspeed Ultimate General Partner VIII, Ltd. is the sole general partner of Lightspeed General Partner VIII, L.P. ("LGP VIII"), which is the sole general partner of Lightspeed VIII. The individual directors of Lightspeed Ultimate General Partner VIII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
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(
6)
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Represents in-kind distribution by Lightspeed VII without consideration to its partners (including LGP VII, the general partner of Lightspeed VII).
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(
7)
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The shares are held of record by LGP VII.
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(
8)
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Represents in-kind distribution by LGP VII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
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(
9)
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The shares are held of record by Mhatre Investments LP - Fund 1. Mr. Mhatre serves as the trustee of the general partner of such entity
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(
10)
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Represents in-kind distribution by Lightspeed VIII without consideration to its partners (including LGP VIII, the general partner of Lightspeed VIII).
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(
11)
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The shares are held of record by LGP VIII.
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(
12)
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Represents in-kind distribution by LGP VIII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
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(
13)
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The shares are held of record by Lightspeed Venture Partners Select, L.P. ("Lightspeed Select"). Lightspeed Ultimate General Partner Select, Ltd. is the sole general partner of Lightspeed General Partner Select, L.P., which is the sole general partner of Lightspeed Select. The individual directors of Lightspeed Ultimate General Partner Select, Ltd. are Christopher J. Schaepe, Barry Eggers, Jeremy Liew, Ravi Mhatre, Peter Nieh and John Vrionis. Mr. Mhatre disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
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(
14)
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Shares of the Issuer's Class B Common Stock are convertible into shares of the Issuer's Class A Common Stock on a 1-for-1 basis. The convertibility of the Class B Common Stock has no expiration date.
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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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Mhatre Ravi
C/O LIGHTSPEED VENTURE PARTNERS
2200 SAND HILL ROAD
MENLO PARK, CA 94025
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X
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X
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Signatures
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/s/ Ravi Mhatre
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3/30/2017
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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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