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) |
Pandey Dheeraj | Nutanix, Inc. [ NTNX ] | __X__ Director | __X__ 10% Owner | |||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | |||||||||||||||||||||||||||
__X__ Officer (give title below) _____ Other (specify below) | ||||||||||||||||||||||||||||||
C/O NUTANIX, INC., 1740 | 10/5/2020 | CEO and Chairman | ||||||||||||||||||||||||||||
TECHNOLOGY DRIVE, SUITE 150 | ||||||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||||||||||||||||||||||||||
SAN JOSE, CA 95110 | _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) | |||||||||||||||||||||||||
Class A Common Stock | 52208 | D | ||||||||||||||||||||||||||||
Class A Common Stock | 10/5/2020 | J(1)(2) | 682285 | A | $0 | 682285 | I(3) | See | ||||||||||||||||||||||
Footnote | ||||||||||||||||||||||||||||||
Class A Common Stock | 10/5/2020 | S | 98220 | D | $22.11 (4) | 584065 | I(3) | See | ||||||||||||||||||||||
Footnote | ||||||||||||||||||||||||||||||
Class A Common Stock | 10/6/2020 | S | 281837 | D | $22.02 (5) | 302228 | I(3) | See | ||||||||||||||||||||||
Footnote | ||||||||||||||||||||||||||||||
Class A Common Stock | 10/7/2020 | S | 302228 | D | $21.56 (6) | 0 | I(3) | See | ||||||||||||||||||||||
Footnote | ||||||||||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Trans. | 3A. Deemed | 4. Trans. Code | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||||
Derivate Security | Conversion | Date | Execution | (Instr. 8) | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | 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) | ||||||||||||||||||||||||||||
Class B | (1)(2) | Class A | See | |||||||||||||||||||||||||||
10/5/2020 | J | 682285 | Common | 682285.0 | $0 | 4579818 | I | |||||||||||||||||||||||
Common Stock | footnote (3) | |||||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||
Class B | Class A | See | ||||||||||||||||||||||||||||
Common | 2932000.0 | 2932000 | I | |||||||||||||||||||||||||||
Common Stock | footnote (8) | |||||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||
Class B | Class A | See | ||||||||||||||||||||||||||||
Common | 68000.0 | 68000 | I | |||||||||||||||||||||||||||
Common Stock | footnote (9) | |||||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||
Class B | Class A | See | ||||||||||||||||||||||||||||
Common | 381218.0 | 381218 | I | |||||||||||||||||||||||||||
Common Stock | footnote (10) | |||||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||
Class B | Class A | See | ||||||||||||||||||||||||||||
Common | 381218.0 | 381218 | I | |||||||||||||||||||||||||||
Common Stock | footnote (10) | |||||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||
Class B | Class A | See | ||||||||||||||||||||||||||||
Common | 381218.0 | 381218 | I | |||||||||||||||||||||||||||
Common Stock | footnote (10) | |||||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||
Explanation of Responses:
- Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock. In addition, each share of Class B common stock will convert automatically into one share of Class A common stock upon (i) the date specified by affirmative vote or written consent of the holders of at least 67% of the outstanding shares of Class B common stock, (ii) any transfer, whether or not for value, subject to certain limited exceptions, (iii) the death of a natural person (including shares held by his or her permitted estate planning entities holding Class B common stock), or (iv) October 5, 2033.
- The reporting person has elected to convert the securities from Class B common stock into Class A common stock.
- The shares are held of record by The Pandey Revocable Trust for which the Reporting Person and his spouse serve as trustees.
- The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $22.00 to $22.40. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $21.50 to $22.50. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- The price reported is a weighted average price. These shares were sold in multiple transactions at sale prices ranging from $21.35 to $21.865. The Reporting Person undertakes to provide the full information regarding the number of shares sold at each separate price upon further request.
- Each share of common stock was reclassified into one share of Class B common stock immediately prior to the completion of the Issuer's initial public offering of Class A common stock in an exempt transaction pursuant to Rule 16b-7.
- The shares are held of record by The Pandey 2017 Irrevocable Descendants' Trust for which the Reporting Person and his spouse serve as trustees.
- The shares are held of record by The Pandey 2012 Irrevocable Descendants' Trust for which the Reporting Person's spouse serves as trustees.
- The shares are held of record by the Pandey 2016 Annuity trust, for which the Reporting Person serves as trustee, for the benefit of the Reporting Person's minor child.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||||||
Director | 10% Owner | Officer | Other | ||||
Pandey Dheeraj | |||||||
C/O NUTANIX, INC. | X | X | CEO and Chairman | ||||
1740 TECHNOLOGY DRIVE, SUITE 150 | |||||||
SAN JOSE, CA 95110 | |||||||
Signatures | |||||||
/s/ Olive Huang, by power of attorney | 10/7/2020 | ||||||
**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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Nutanix Inc. published this content on 07 October 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 07 October 2020 23:29:01 UTC