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
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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) |
Garrett W.H. Baird | Elastic N.V. [ ESTC ] | _____ Director | _____ 10% Owner | |||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | |||||||||||||||||||||||
__X__ Officer (give title below) _____ Other (specify below) | ||||||||||||||||||||||||||
C/O ELASTIC N.V., 800 WEST EL | 9/30/2020 | SVP and General Counsel | ||||||||||||||||||||||||
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 | 9/30/2020 | M | 15235 | A | $9.30 | 35555 | D | |||||||||||||||||||
Ordinary Shares | 9/30/2020 | S | 15235 | D | $109.3716 (1) | 20320 | 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) | ||||||||||||||||||||||||
Employee Stock | Ordinary | |||||||||||||||||||||||||
Option (right to | $9.30 | 9/30/2020 | M | 15235 | 4/24/2027 | 15235 | $0.00 | 164945 | D | |||||||||||||||||
Shares | ||||||||||||||||||||||||||
buy) | ||||||||||||||||||||||||||
Explanation of Responses:
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.01 to $109.87, inclusive. The reporting person undertakes to provide to the 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.
- The ordinary shares subject to the option vest as follows: (i) 100,000 ordinary shares subject to the option vest in 48 equal monthly installments beginning on May 1, 2017; (ii) 75,000 ordinary shares subject to the option vest in 48 equal monthly installments beginning on May 1, 2018; and (iii) 75,000 ordinary shares subject to the option vest in 48 equal monthly installments beginning on May 1, 2019.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||||||
Director | 10% Owner | Officer | Other | ||||
Garrett W.H. Baird | |||||||
C/O ELASTIC N.V. | SVP and General Counsel | ||||||
800 WEST EL CAMINO REAL, SUITE 350 | |||||||
MOUNTAIN VIEW, CA 94040 | |||||||
Signatures | |||||||
/s/ W.H. Baird Garrett | 10/1/2020 | ||||||
**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).
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Elastic NV published this content on 01 October 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 01 October 2020 23:19:01 UTC