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Home > Insider Trading > Filing (0001209191-18-025608)

Filing Details

Accession Number:
0001209191-18-025608
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-04-19 17:02:48
Reporting Period:
2018-04-17
Accepted Time:
2018-04-19 17:02:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1660134 Okta Inc. OKTA Services-Prepackaged Software (7372) 264175727
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1700842 Frederic Jacques Kerrest C/O Okta, Inc.
301 Brannan Street
San Francisco CA 94107		 Chief Operating Officer Yes Yes No No
Reported Non-Derivative Transactions
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Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2018-04-17 162,244 $0.00 162,244 No 4 C Indirect By Trust
Class A Common Stock Disposition 2018-04-17 146,537 $40.69 15,707 No 4 S Indirect By Trust
Class A Common Stock Disposition 2018-04-17 15,707 $41.56 0 No 4 S Indirect By Trust
Class A Common Stock Acquisiton 2018-04-17 7,068 $0.00 7,068 No 4 C Indirect By Trust
Class A Common Stock Disposition 2018-04-17 6,363 $40.69 705 No 4 S Indirect By Trust
Class A Common Stock Disposition 2018-04-17 705 $41.56 0 No 4 S Indirect By Trust
Class A Common Stock Acquisiton 2018-04-17 2,359 $0.00 2,359 No 4 C Indirect By Trust
Class A Common Stock Disposition 2018-04-17 2,100 $40.71 259 No 4 S Indirect By Trust
Class A Common Stock Disposition 2018-04-17 259 $41.54 0 No 4 S Indirect By Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Trust
No 4 S Indirect By Trust
No 4 S Indirect By Trust
No 4 C Indirect By Trust
No 4 S Indirect By Trust
No 4 S Indirect By Trust
No 4 C Indirect By Trust
No 4 S Indirect By Trust
No 4 S Indirect By Trust
Reported Derivative Transactions
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Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2018-04-17 162,244 $0.00 162,244 $0.00
Class A Common Stock Class B Common Stock Disposition 2018-04-17 7,068 $0.00 7,068 $0.00
Class A Common Stock Class B Common Stock Disposition 2018-04-17 2,359 $0.00 2,359 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,593,328 No 4 C Indirect
192,154 No 4 C Indirect
58,825 No 4 C Indirect
Reported Derivative Holdings
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Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Class B Common Stock $0.00 193,965 193,965 Indirect
Class A Common Stock Class B Common Stock $0.00 11,427 11,427 Indirect
Class B Common Stock Employee Stock Option (Right to Buy) $1.40 2023-08-29 75,000 75,000 Direct
Class B Common Stock Employee Stock Option (Right to Buy) $3.11 2024-08-26 75,000 75,000 Direct
Class B Common Stock Employee Stock Option (Right to Buy) $7.17 2025-08-27 250,000 250,000 Indirect
Class B Common Stock Employee Stock Option (Right to Buy) $8.97 2026-07-29 1,000,000 1,000,000 Direct
Class A Common Stock Employee Stock Option (Right to Buy) $39.21 2028-03-21 114,000 114,000 Direct
Class A Common Stock Restricted Stock Units $0.00 49,400 49,400 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
193,965 193,965 Indirect
11,427 11,427 Indirect
2023-08-29 75,000 75,000 Direct
2024-08-26 75,000 75,000 Direct
2025-08-27 250,000 250,000 Indirect
2026-07-29 1,000,000 1,000,000 Direct
2028-03-21 114,000 114,000 Direct
49,400 49,400 Direct
Footnotes
  1. Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
  2. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
  3. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.35 to $41.34 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.38 to $41.67 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  5. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.39 to $41.32 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  6. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.53 to $41.66 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  7. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.43 to $41.07 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  8. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.54 to $41.56 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  9. The shares subject to the option are fully vested and exercisable by the Reporting Person.
  10. 25% of the shares subject to the option vested on August 1, 2015, and the remaining shares subject to the option vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person.
  11. 25% of the shares subject to the option vested on August 1, 2016, and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person.
  12. 20% of the shares subject to the option vested on July 29, 2017, 20% of the shares subject to the option shall vest on July 29, 2018, and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person.
  13. 25% of the shares subject to the option shall vest on February 1, 2019 and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through each vesting date.
  14. Each Restricted Stock Unit ("RSU") represents the right to receive one share of Class A Common Stock.
  15. 25% of the shares underlying the RSU shall vest on March 15, 2019, and the remaining shares underlying the RSU shall vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date.