Statement of Changes in Beneficial Ownership (4)
June 23 2023 - 4:31PM
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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OMB APPROVAL
OMB Number:
3235-0287
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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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TUNNELL DAVID R |
2. Issuer Name and Ticker or Trading Symbol
SPLUNK INC
[
SPLK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O HELLMAN & FRIEDMAN LLC, 415 MISSION STREET, SUITE 5700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/21/2023 |
(Street)
SAN FRANCISCO, CA 94105 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 | 6/21/2023 | | A | | 2777 (1) | A | $0.00 | 9798 | D (2) | |
Common Stock | | | | | | | | 11909197 | I | See footnotes (3)(5) |
Common Stock | | | | | | | | 890625 | I | See footnotes (4)(5) |
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 reported securities are represented by restricted stock units ("RSUs"). Twenty-five percent of the RSUs vest on each of September 10, 2023, December 10, 2023, March 10, 2024 and June 10, 2024 (or the Issuer's next annual meeting of stockholders if earlier). |
(2) | These securities are held by Mr. Tunnell for the benefit of private investment funds affiliated with H&F Shadowfax Holdings 2, L.P. and H&F Shadowfax Holdings, L.P. |
(3) | Reflects securities directly held by H&F Shadowfax Holdings 2, L.P. |
(4) | Reflects securities directly held by H&F Shadowfax Holdings, L.P. |
(5) | H&F Corporate Investors X, Ltd. is the general partner of Hellman & Friedman Investors X, L.P. Hellman & Friedman Investors X, L.P. is the general partner of Hellman & Friedman Capital Partners X, L.P. Hellman & Friedman Capital Partners X, L.P. is the managing member of H&F Shadowfax Holdings GP, LLC. H&F Shadowfax Holdings GP, LLC is the general partner of H&F Shadowfax Holdings, L.P. H&F Shadowfax Holdings, L.P. is the sole member of H&F Shadowfax Holdings 2 GP, LLC. H&F Shadowfax Holdings 2 GP, LLC is the general partner of H&F Shadowfax Holdings 2, L.P. A three member board of directors of H&F Corporate Investors X, Ltd. has investment discretion over the shares held by H&F Shadowfax Holdings 2, L.P. and H&F Shadowfax Holdings, L.P. David R. Tunnell, a member of the board of directors of Splunk Inc., is a member of the board of directors of H&F Corporate Investors X, Ltd. |
Remarks: The Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of such Reporting Person's pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
TUNNELL DAVID R C/O HELLMAN & FRIEDMAN LLC 415 MISSION STREET, SUITE 5700 SAN FRANCISCO, CA 94105 | X |
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Signatures
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/s/ David R. Tunnell | | 6/23/2023 |
**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 4(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. |
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