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Zscaler, Inc. — Director's Dealing 2018
Sep 14, 2018
30054_dirs_2018-09-14_30d02237-da39-404f-9d35-d870cb9697c6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Zscaler, Inc. (ZS)
CIK: 0001713683
Period of Report: 2018-09-13
Reporting Person: Brown Andrew William Fraser (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-09-13 | Common Stock | M | 13333 | $1.43 | Acquired | 14520 | Direct |
| 2018-09-13 | Common Stock | M | 21667 | $4.125 | Acquired | 36187 | Direct |
| 2018-09-13 | Common Stock | S | 35000 | $40.6106 | Disposed | 1187 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-09-13 | Stock Option (right to buy) | $1.43 | M | 13333 | Disposed | 2020-12-06 | Common Stock (13333) | Direct |
| 2018-09-13 | Stock option (right to buy) | $4.125 | M | 21667 | Disposed | 2025-10-14 | Common Stock (21667) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 48813 | Indirect |
Footnotes
F1: Includes 1,187 shares previously held by the Andrew W. F. Brown 2017 Grantor Retained Annuity Trust for which the reporting person's spouse serves as trustee (the "Brown GRAT") which were registered on June 20, 2018 to the reporting person.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.60 to $40.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
F3: Excludes 1,187 shares previously held by the Brown GRAT which were registered on June 20, 2018 to the reporting person.
F4: The shares are held of record by the Brown GRAT.
F5: Shares subject to the option are fully vested and immediately exercisable.
F6: The option was previously reported in a Form 3 filed on March 15, 2018 which mistakenly reported an expiration date of December 6, 2023.
F7: The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option vest in 48 equal monthly installments beginning on November 14, 2015.