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Snowflake Inc. — Director's Dealing 2021
Mar 4, 2021
29911_dirs_2021-03-03_a019415c-1e1c-4c09-9958-db1712655620.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Snowflake Inc. (SNOW)
CIK: 0001640147
Period of Report: 2021-03-01
Reporting Person: Speiser Michael L (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-01 | Class A Common Stock | C | 38700.0000 | $0.0000 | Acquired | 38700.0000 | Direct |
| 2021-03-01 | Class A Common Stock | C | 933952.0000 | $0.0000 | Acquired | 933952.0000 | Indirect |
| 2021-03-01 | Class A Common Stock | C | 27309222.0000 | $0.0000 | Acquired | 27309222.0000 | Indirect |
| 2021-03-01 | Class A Common Stock | C | 4117529.0000 | $0.0000 | Acquired | 4117529.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-01 | Class B Common Stock | $ | C | 38700.0000 | Disposed | Class A Common Stock (38700.0000) | Direct | |
| 2021-03-01 | Class B Common Stock | $ | C | 933952.0000 | Disposed | Class A Common Stock (933952.0000) | Indirect | |
| 2021-03-01 | Class B Common Stock | $ | C | 27309222.0000 | Disposed | Class A Common Stock (27309222.0000) | Indirect | |
| 2021-03-01 | Class B Common Stock | $ | C | 4117529.0000 | Disposed | Class A Common Stock (4117529.0000) | Indirect |
Footnotes
F1: Effective as of 5:00 p.m. Eastern Time on March 1, 2021, the date specified by the holders of a majority of then-outstanding shares of the Issuer's Class B Common Stock, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation.
F2: Shares held by the reporting person in Roth IRA. Of these shares 19,350 shares are subject to transfer pursuant to the terms of a domestic relations order. The reporting person retains voting power, but has no dispositive power, with respect to the shares subject to the order, and disclaims beneficial ownership of such shares for purposes of Section 16 of the Securities Exchange Act of 1934.
F3: Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
F4: 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.
F5: Shares held by a trust of which the reporting person is a Trustee. Of these shares 2,058,765 shares are subject to transfer pursuant to the terms of a domestic relations order. The reporting person retains voting power, but has no dispositive power, with respect to the shares subject to the order, and disclaims beneficial ownership of such shares for purposes of Section 16 of the Securities Exchange Act of 1934. With respect to the remaining shares, the reporting person disclaims beneficial ownership except as to the reporting person's pecuniary interest therein.