Filing Details
- Accession Number:
- 0001209191-20-064156
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-17 17:23:15
- Reporting Period:
- 2020-12-15
- Accepted Time:
- 2020-12-17 17:23:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1535379 | Cloudera Inc. | CLDR | Services-Prepackaged Software (7372) | 262922329 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1763658 | Arun Murthy | C/O Cloudera Inc. 5470 Great America Pkwy Santa Clara CA 95054 | Chief Product Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-12-15 | 48,573 | $0.00 | 844,449 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-15 | 72,859 | $0.00 | 917,308 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-15 | 23,543 | $0.00 | 940,851 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-12-15 | 32,583 | $0.00 | 973,434 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-15 | 88,035 | $12.54 | 885,399 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2020-12-15 | 89,523 | $12.38 | 795,876 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2020-12-15 | 48,573 | $0.00 | 48,573 | $0.00 |
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2020-12-15 | 72,859 | $0.00 | 72,859 | $0.00 |
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2020-12-15 | 23,543 | $0.00 | 23,543 | $0.00 |
| Common Stock | Restricted Stock Units (RSU) | Disposition | 2020-12-15 | 32,583 | $0.00 | 32,583 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 388,586 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 282,512 | No | 4 | M | Direct | ||
| 293,241 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this line were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the settlement of vested RSUs.
- The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- Represents the weighted average sales price per share. The shares sold at prices ranging from $12.23 to $12.55 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
- The RSUs vest as to 1/12th of the total number of shares on each quarterly anniversary date following December 15, 2019, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- The RSUs become fully vested on December 15, 2020, subject to reporting person's continued service through each vesting date.
- The RSUs vest as to 1/16th of the total number of shares on each quarterly anniversary date following December 15, 2019, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- The RSUs vested as to 1/12th of the total number of shares on June 15, 2020, and thereafter vest as to 1/12th of the total number of shares in equal quarterly installments until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
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