AI assistant
Snowflake Inc. — Director's Dealing 2020
Sep 22, 2020
29911_dirs_2020-09-22_be39576b-2b11-4566-8108-4b4cf10bc914.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Snowflake Inc. (SNOW)
CIK: 0001640147
Period of Report: 2020-09-18
Reporting Person: WHITE JAMES N (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-09-18 | Class B Common Stock | $ | C | 44028.0000 | Acquired | Class A Common Stock (44028.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 34794.0000 | Acquired | Class A Common Stock (34794.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 21178.0000 | Acquired | Class A Common Stock (21178.0000) | Indirect | |
| 2020-09-18 | Series A Preferred Stock | $ | C | 44028.0000 | Disposed | Class B Common Stock (44028.0000) | Indirect | |
| 2020-09-18 | Series B Preferred Stock | $ | C | 21178.0000 | Disposed | Class B Common Stock (21178.0000) | Indirect | |
| 2020-09-18 | Series Seed Preferred Stock | $ | C | 34794.0000 | Disposed | Class B Common Stock (34794.0000) | Indirect | |
| 2020-09-18 | Series B Preferred Stock | $ | C | 21177.0000 | Disposed | Class B Common Stock (21177.0000) | Indirect | |
| 2020-09-18 | Series Seed Preferred Stock | $ | C | 34795.0000 | Disposed | Class B Common Stock (34795.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 44028.0000 | Acquired | Class A Common Stock (44028.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 34794.0000 | Acquired | Class A Common Stock (34794.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 21178.0000 | Acquired | Class A Common Stock (21178.0000) | Indirect | |
| 2020-09-18 | Series A Preferred Stock | $ | C | 44028.0000 | Disposed | Class B Common Stock (44028.0000) | Indirect | |
| 2020-09-18 | Series B Preferred Stock | $ | C | 21178.0000 | Disposed | Class B Common Stock (21178.0000) | Indirect | |
| 2020-09-18 | Series Seed Preferred Stock | $ | C | 34794.0000 | Disposed | Class B Common Stock (34794.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 44028.0000 | Acquired | Class A Common Stock (44028.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 34795.0000 | Acquired | Class A Common Stock (34795.0000) | Indirect | |
| 2020-09-18 | Class B Common Stock | $ | C | 21177.0000 | Acquired | Class A Common Stock (21177.0000) | Indirect | |
| 2020-09-18 | Series A Preferred Stock | $ | C | 44028.0000 | Disposed | Class B Common Stock (44028.0000) | Indirect | |
| 2020-09-18 | Series B Preferred Stock | $ | C | 21177.0000 | Disposed | Class B Common Stock (21177.0000) | Indirect | |
| 2020-09-18 | Series Seed Preferred Stock | $ | C | 34795.0000 | Disposed | Class B Common Stock (34795.0000) | Indirect |
Footnotes
F1: 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.
F2: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. 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.
F3: 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.
F4: 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 automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.