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Nutanix, Inc. — Director's Dealing 2016
Sep 30, 2016
30285_dirs_2016-09-29_f46b24c6-7f47-4cbe-bdd8-cb4f09cb601d.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Nutanix, Inc. (NTNX)
CIK: 0001618732
Period of Report: 2016-09-29
Reporting Person: Pandey Dheeraj (Director, CEO and Chairman)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4756592 | Indirect |
| Common Stock | 2500000 | Indirect |
| Common Stock | 2000000 | Indirect |
| Common Stock | 500000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $0.49 | 2022-03-27 | Common Stock (886000) | Direct | |
| Employee Stock Option (right to buy) | $0.49 | 2022-06-12 | Common Stock (705000) | Direct | |
| Employee Stock Option (right to buy) | $12.00 | 2026-09-16 | Common Stock (500000) | Direct | |
| Restricted Stock Units | $ | Common Stock (600000) | Direct |
Footnotes
F1: Each share of common stock shall be reclassified into one share of Class B common stock immediately prior to the completion of the Issuer's initial public offering of Class A common stock in an exempt transaction pursuant to Rule 16b-7.
F2: The shares are held of record by The Pandey Revocable Trust for which the Reporting Person and his spouse serve as trustees.
F3: The shares are held of record by The Pandey Irrevocable Descendants' Trust for which the Reporting Person's spouse serves as trustee.
F4: The shares are held of record by The Pandey 2016 Annuity Trust for which the Reporting Person serves as trustee.
F5: The shares are held of record by The Swapna Pandey 2014 Irrevocable Descendant's Trust for which the Reporting Person serves as trustee.
F6: Shares subject to the option are fully vested and immediately exercisable.
F7: Shares subject to the option vest in 48 equal monthly installments beginning on October 16, 2016.
F8: On April 28, 2017, 450,000 restricted stock units, or RSUs, vest and become issuable and the remaining RSUs vest in four equal quarterly installments beginning on July 15, 2017.
F9: Each RSU represents a contingent right to receive one share of Issuer common stock.