FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
Chadwick Jonathan | Elastic N.V. [ ESTC ] | __X__ Director | _____ 10% Owner | |
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | |
_____ Officer (give title below) | _____ Other (specify below) | |||
C/O ELASTIC N.V., 800 WEST EL | 7/27/2020 | ||||||||||||||||||||||||||
CAMINO REAL, SUITE 350 | |||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||||||||||||||||||
MOUNTAIN VIEW, CA 94040 | _X _ Form filed by One Reporting Person | ||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | ||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) or | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | |||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | |||||||||||||||||||||||
Direct (D) | Ownership | ||||||||||||||||||||||||||
or Indirect | (Instr. 4) | ||||||||||||||||||||||||||
(A) or | (I) (Instr. | ||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | ||||||||||||||||||||||
Ordinary Shares | 7/27/2020 | M | 6250 | A | $19.87 | 8542 | D | ||||||||||||||||||||
Ordinary Shares | 7/27/2020 | S(1) | 2502 | D | $88.8023 (2) | 6040 | D | ||||||||||||||||||||
Ordinary Shares | 7/27/2020 | S(1) | 1595 | D | $89.6322 (3) | 4445 | D | ||||||||||||||||||||
Ordinary Shares | 7/27/2020 | S(1) | 2153 | D | $90.431 (4) | 2292 | D | ||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||
Security | Conversion | Date | Execution | Code | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | (Instr. 8) | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | ||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | |||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | |||||||||||||||||||||||
Security | Following | Direct (D) | |||||||||||||||||||||||||
Amount or | |||||||||||||||||||||||||||
Date | Expiration | Reported | or Indirect | ||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Number of | Transaction(s) | (I) (Instr. | ||||||||||||||||||
Shares | (Instr. 4) | 4) | |||||||||||||||||||||||||
Stock Option | $19.87 | 7/27/2020 | M | 6250 | 8/16/2028 | Ordinary | 6250 | $0.00 | 181250 | D | |||||||||||||||||
(right to buy) | Shares | ||||||||||||||||||||||||||
Explanation of Responses:
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2019.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.24 to $89.23, 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 within the ranges set forth in footnotes (2), (3) and (4) to this Form 4
- The price reported in Column 4 is weighted average price. These shares were sold in multiple transactions at prices ranging from $89.24 to $90.22, inclusive.
- The price reported in Column 4 is weighted average price. These shares were sold in multiple transactions at prices ranging from $90.25 to $90.74, inclusive.
- The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the ordinary shares subject to the option vested on August 14, 2019 and 1/48th of the ordinary shares vest monthly thereafter.
Reporting Owners
Reporting Owner Name / Address | Relationships |
Director 10% Owner OfficerOther | |
Chadwick Jonathan
C/O ELASTIC N.V.X 800 WEST EL CAMINO REAL, SUITE 350 MOUNTAIN VIEW, CA 94040
Signatures | |
/s/ W.H. Baird Garrett, by power of attorney | 7/29/2020 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- If the form is filed by more than one reporting person, see Instruction 4(b)(v).
- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Attachments
- Original document
- Permalink
Disclaimer
Elastic NV published this content on 29 July 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 29 July 2020 23:00:18 UTC