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Snowflake Inc. — Director's Dealing 2020
Sep 15, 2020
29911_dirs_2020-09-15_7e5e24f6-94ae-4861-9c5f-535b298d1da0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Snowflake Inc. (SNOW)
CIK: 0001640147
Period of Report: 2020-09-15
Reporting Person: Pullara Samuel J III (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Class B Common Stock (136364.0000) | Indirect | ||
| Series B Preferred Stock | $ | Class B Common Stock (64738.0000) | Indirect | ||
| Class B Common Stock | $ | Class A Common Stock (44252.0000) | Indirect | ||
| Series A Preferred Stock | $ | Class B Common Stock (7822231.0000) | Indirect | ||
| Series B Preferred Stock | $ | Class B Common Stock (4163543.0000) | Indirect | ||
| Series C Preferred Stock | $ | Class B Common Stock (7464467.0000) | Indirect | ||
| Series D Preferred Stock | $ | Class B Common Stock (2170228.0000) | Indirect | ||
| Series E Preferred Stock | $ | Class B Common Stock (69370.0000) | Indirect | ||
| Series F Preferred Stock | $ | Class B Common Stock (2726595.0000) | Indirect | ||
| Series G-1 Preferred Stock | $ | Class B Common Stock (727185.0000) | Indirect | ||
| Series Seed Preferred Stock | $ | Class B Common Stock (2121351.0000) | Indirect | ||
| Class B Common Stock | $ | Class A Common Stock (614.0000) | Indirect | ||
| Series A Preferred Stock | $ | Class B Common Stock (180614.0000) | Indirect | ||
| Series B Preferred Stock | $ | Class B Common Stock (104002.0000) | Indirect | ||
| Series C Preferred Stock | $ | Class B Common Stock (361676.0000) | Indirect | ||
| Series D Preferred Stock | $ | Class B Common Stock (83962.0000) | Indirect | ||
| Series E Preferred Stock | $ | Class B Common Stock (2854.0000) | Indirect | ||
| Series F Preferred Stock | $ | Class B Common Stock (116250.0000) | Indirect | ||
| Series G-1 Preferred Stock | $ | Class B Common Stock (30030.0000) | Indirect | ||
| Series Seed Preferred Stock | $ | Class B Common Stock (46648.0000) | Indirect |
Footnotes
F1: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock will automatically convert into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and has no expiration date.
F2: Shares held by a trust for the benefit of the reporting person's children, of which the reporting person is a trustee. The reporting person disclaims any beneficial ownership in these shares.
F3: Following the closing of the Issuer's IPO, each share of Class B Common Stock will be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and will have no expiration date. After the closing of the Issuer's IPO, on any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.
F4: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.
F5: Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the general partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F6: Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.