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Nutanix, Inc. — Director's Dealing 2017
Mar 31, 2017
30285_dirs_2017-03-31_3328362e-f710-4bbb-80a4-e6252fd8206b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Nutanix, Inc. (NTNX)
CIK: 0001618732
Period of Report: 2017-03-28
Reporting Person: Mhatre Ravi (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-27 | Class A Common Stock | C | 10352222 | — | Acquired | 10352222 | Indirect |
| 2017-03-15 | Class A Common Stock | C | 3612374 | — | Acquired | 3612374 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 2860446 | — | Disposed | 7491776 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 736566 | — | Acquired | 736566 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 736566 | — | Disposed | 0 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 109853 | — | Acquired | 109853 | Direct |
| 2017-03-28 | Class A Common Stock | J | 1430223 | — | Disposed | 2182151 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 332886 | — | Acquired | 332886 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 332886 | — | Disposed | 0 | Indirect |
| 2017-03-28 | Class A Common Stock | J | 44581 | — | Acquired | 44581 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-27 | Class B Common Stock | $ | C | 10352222 | Disposed | Class A Common Stock (10352222) | Indirect | |
| 2017-03-15 | Class B Common Stock | $ | C | 3612374 | Disposed | Class A Common Stock (3612374) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (190363) | 190363 | Indirect |
Footnotes
F1: 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.
F2: The shares are held of record by Lightspeed Venture Partners VII, L.P. ("Lightspeed VII").
F3: 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.
F4: The shares are held of record by Lightspeed Venture Partners VIII, L.P. ("Lightspeed VIII").
F5: 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.
F6: Represents in-kind distribution by Lightspeed VII without consideration to its partners (including LGP VII, the general partner of Lightspeed VII).
F7: The shares are held of record by LGP VII.
F8: Represents in-kind distribution by LGP VII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
F9: 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
F10: Represents in-kind distribution by Lightspeed VIII without consideration to its partners (including LGP VIII, the general partner of Lightspeed VIII).
F11: The shares are held of record by LGP VIII.
F12: Represents in-kind distribution by LGP VIII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
F13: 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.
F14: 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.