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Okta, Inc. — Director's Dealing 2018
Jan 5, 2018
30365_dirs_2018-01-04_13a6960f-9ce3-4d12-8c33-9cf3ab3813f1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Okta, Inc. (OKTA)
CIK: 0001660134
Period of Report: 2018-01-02
Reporting Person: Grady Patrick W (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-01-02 | Class A Common Stock | C | 2071223 | $0.00 | Acquired | 2071223 | Indirect |
| 2018-01-02 | Class A Common Stock | C | 1318174 | $0.00 | Acquired | 1318174 | Indirect |
| 2018-01-02 | Class A Common Stock | C | 66026 | $0.00 | Acquired | 66026 | Indirect |
| 2018-01-02 | Class A Common Stock | J | 2071223 | $0.00 | Disposed | 0 | Indirect |
| 2018-01-02 | Class A Common Stock | J | 1318174 | $0.00 | Disposed | 0 | Indirect |
| 2018-01-02 | Class A Common Stock | J | 66026 | $0.00 | Disposed | 0 | Indirect |
| 2018-01-02 | Class A Common Stock | J | 70452 | $0.00 | Acquired | 148282 | Direct |
| 2018-01-04 | Class A Common Stock | C | 2071223 | $0.00 | Acquired | 2071223 | Indirect |
| 2018-01-04 | Class A Common Stock | C | 1318174 | $0.00 | Acquired | 1318174 | Indirect |
| 2018-01-04 | Class A Common Stock | C | 66026 | $0.00 | Acquired | 66026 | Indirect |
| 2018-01-04 | Class A Common Stock | J | 2071223 | $0.00 | Disposed | 0 | Indirect |
| 2018-01-04 | Class A Common Stock | J | 1318174 | $0.00 | Disposed | 0 | Indirect |
| 2018-01-04 | Class A Common Stock | J | 66026 | $0.00 | Disposed | 0 | Indirect |
| 2018-01-04 | Class A Common Stock | J | 69224 | $0.00 | Acquired | 217506 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-01-02 | Class B Common Stock | $ | C | 2071223 | Disposed | Class A Common Stock (2071223) | Indirect | |
| 2018-01-02 | Class B Common Stock | $ | C | 1318174 | Disposed | Class A Common Stock (1318174) | Indirect | |
| 2018-01-02 | Class B Common Stock | $ | C | 66026 | Disposed | Class A Common Stock (66026) | Indirect | |
| 2018-01-04 | Class B Common Stock | $ | C | 2071223 | Disposed | Class A Common Stock (2071223) | Indirect | |
| 2018-01-04 | Class B Common Stock | $ | C | 1318174 | Disposed | Class A Common Stock (1318174) | Indirect | |
| 2018-01-04 | Class B Common Stock | $ | C | 66026 | Disposed | Class A Common Stock (66026) | Indirect |
Footnotes
F1: Represents a distribution of Class A Common Stock of the Issuer to partners or members and includes subsequent distributions by general partners or managing members to their respective partners or members.
F2: SC US (TTGP), Ltd. is the general partner of SC U.S. Growth VI Management, L.P., which is the general partner of each of Sequoia Capital U.S. Growth Fund VI, L.P. and Sequoia Capital U.S. Growth VI Principals Fund, L.P. Sequoia Capital U.S. Growth Fund V, L.P. and Sequoia Capital USGF Principals Fund V, L.P. together own 100% of the outstanding shares held by SC US GF V Holdings, Ltd. SC US (TTGP), Ltd. is the general partner of SCGF V Management, L.P., which is the general partner of each of Sequoia Capital U.S. Growth Fund V, L.P. and Sequoia Capital USGF Principals Fund V, L.P The Reporting Person is a Director of SC US (TTGP), Ltd. The Reporting Person disclaims beneficial ownership of the securities held by the Sequoia Capital funds except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F3: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro rata in-kind distributions described in footnote (1) above.
F4: Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.