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Tesla, Inc. — Director's Dealing 2018
Dec 7, 2018
29741_dirs_2018-12-06_e7e027c9-a4d5-4100-b53b-897c5224abe8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Tesla, Inc. (TSLA)
CIK: 0001318605
Period of Report: 2018-12-03
Reporting Person: Guillen Jerome M (President, Automotive)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-12-03 | Common Stock | M | 1000 | $139.34 | Acquired | 8598 | Direct |
| 2018-12-03 | Common Stock | S | 1000 | $360.28 | Disposed | 7598 | Direct |
| 2018-12-05 | Common Stock | M | 285 | $0.0 | Acquired | 7883 | Direct |
| 2018-12-05 | Common Stock | F | 143 | $356.01 | Disposed | 7740 | Direct |
| 2018-12-05 | Common Stock | M | 242 | $0.0 | Acquired | 7982 | Direct |
| 2018-12-05 | Common Stock | F | 122 | $355.998 | Disposed | 7860 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-12-03 | Non-Qualified Stock Option (right to buy) | $139.34 | M | 1000 | Disposed | 2024-01-13 | Common Stock (1000) | Direct |
| 2018-12-05 | Restricted Stock Unit | $0.0 | M | 285 | Disposed | Common Stock (285) | Direct | |
| 2018-12-05 | Restricted Stock Unit | $0.0 | M | 242 | Disposed | Common Stock (242) | Direct |
Footnotes
F1: The sale reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 11, 2018.
F2: Shares of the Issuer's common stock were issued to the reporting person upon the vesting of restricted stock units on December 5, 2018.
F3: PURSUANT TO THE ISSUER'S EQUITY PLAN AND POLICIES, SHARES OF COMMON STOCK WERE AUTOMATICALLY WITHHELD AND SOLD BY THE ISSUER TO SATISFY THE REPORTING PERSON'S TAX WITHHOLDING OBLIGATIONS RELATED TO THE VESTING OF RESTRICTED STOCK UNITS REPORTED HEREIN.
F4: 1/4th of the shares subject to the option vested and became exercisable on each of October 6, 2015, May 15, 2017, and July 30, 2017, and the remainder of the shares subject to the option shall become vested and exercisable upon achievement of a certain performance milestone specified in the option agreement.
F5: 1/16th of the total restricted stock units initially subject to this award vested on September 5, 2016, and 1/16th of the total units initially subject to this award vest every three months thereafter.
F6: 1/16th of the total restricted stock units initially subject to this award vested on September 5, 2017, and 1/16th of the total units initially subject to this award vest every three months thereafter.