Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nutanix, Inc.NTNX · Entity 3296 | Director | December 13, 2019 | December 17, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Nutanix, Inc.
Report date December 13, 2019 · Filed December 17, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 19,825 |
Reported balance
After 2019-12-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-12-13 · Grant · Acquired 11,302 · Balance 19,825 F1: Reflects shares that the Reporting Person will receive upon the settlement of restricted stock units, or RSUs, received on December 13, 2019 by the Reporting Person pursuant to the Issuer's Amended and Restated Outside Director Compensation Policy. Each RSU represents a contingent right to receive one share of Issuer's Class A common stock. The RSUs will vest on the earlier of (i) the day prior to the next annual meeting of stockholders held after the date of grant or (ii) the one-year anniversary of the date of grant, in each case subject to the Reporting Person continuing to provide service to the Issuer through the applicable vesting date. F2: This number also includes 11,302 unvested RSUs, which are issuable into shares of the Issuer's Class A common stock. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 41,504 |
Reported balance
Holding disclosure · report date 2019-12-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 41,504 F3: Consists of (i) 37,217 shares of Issuer's Class A common stock held of record by The Parks Trust, a trust beneficially owned by the Reporting Person and (ii) 4,287 shares of Issuer's Class A common stock held of record by Riverwood Capital, LP, which is holding such shares for the benefit of The Parks Trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares that the Reporting Person will receive upon the settlement of restricted stock units, or RSUs, received on December 13, 2019 by the Reporting Person pursuant to the Issuer's Amended and Restated Outside Director Compensation Policy. Each RSU represents a contingent right to receive one share of Issuer's Class A common stock. The RSUs will vest on the earlier of (i) the day prior to the next annual meeting of stockholders held after the date of grant or (ii) the one-year anniversary of the date of grant, in each case subject to the Reporting Person continuing to provide service to the Issuer through the applicable vesting date.
F2: This number also includes 11,302 unvested RSUs, which are issuable into shares of the Issuer's Class A common stock.
F3: Consists of (i) 37,217 shares of Issuer's Class A common stock held of record by The Parks Trust, a trust beneficially owned by the Reporting Person and (ii) 4,287 shares of Issuer's Class A common stock held of record by Riverwood Capital, LP, which is holding such shares for the benefit of The Parks Trust.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ForgeRock, Inc.
Report date August 23, 2023 · Filed August 25, 2023
Jointly reported with Riverwood Capital Partners III (Parallel - A) L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., RCP III AIV L.P., Riverwood Capital Partners III (Parallel - B) L.P.
Section 16 reporting ended · disclosed 2023-08-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-08-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-08-23 · Disposition to issuer · Disposed 11,323 · Balance 0 F1: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of board of directors of ForgeRock, Inc. (the "Issuer") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This fling shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. F2: Represents shares of Class A common stock that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into Issuer pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement"). F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F4: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy: RCP III AIV L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2023-08-23 · Disposition to issuer · Disposed 2,938,640 · Balance 0 F2: Represents shares of Class A common stock that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into Issuer pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement"). F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F5: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy: Riverwood Capital Partners III (Parallel-A) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2023-08-23 · Disposition to issuer · Disposed 610,992 · Balance 0 F2: Represents shares of Class A common stock that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into Issuer pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement"). F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F6: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy: Riverwood Capital Partners Ill (Parallel-B) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2023-08-23 · Disposition to issuer · Disposed 1,018,318 · Balance 0 F2: Represents shares of Class A common stock that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into Issuer pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement"). F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F7: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy: RCP III AIV L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-08-23 · Disposition to issuer · Disposed 1,641,559 · Balance 0 F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement. F5: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy: Riverwood Capital Partners III (Parallel-A) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-08-23 · Disposition to issuer · Disposed 341,306 · Balance 0 F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement. F6: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P. |
| Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy: Riverwood Capital Partners Ill (Parallel-B) L.P. | 0 |
Reported balance
After 2023-08-23 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-08-23 · Disposition to issuer · Disposed 568,845 · Balance 0 F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration. F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration"). F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement. F7: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed by Jeffrey T. Parks and RCP III AIV L.P., Riverwood Capital III L.P., Riverwood Capital GP III Ltd., Riverwood Capital Partners III (Parallel-A) L.P. and Riverwood Capital Partners III (Parallel-B) L.P. (collectively, the "Riverwood Entities"). Mr. Parks is a member of board of directors of ForgeRock, Inc. (the "Issuer") and a member of the investment committee of Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP III Ltd. This fling shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any.
F2: Represents shares of Class A common stock that were disposed of at the effective time (the "Effective Time") of the merger (the "Merger") of Project Fortress Merger Sub, Inc. by and into Issuer pursuant to an Agreement and Plan of Merger, dated October 10, 2022, by and among the Issuer, Project Fortress Parent, LLC, and Project Fortress Merger Sub, Inc. (the "Merger Agreement").
F3: In connection with the Merger, these shares were cancelled and converted into the right to receive a cash payment per share of $23.25, without interest, subject to the terms and conditions of the Merger Agreement (the "Merger Consideration").
F4: These securities are held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Mr. Parks is obligated to transfer the underlying shares upon vesting and settlement of the RSUs or any proceeds from the sale thereof as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities by Mr. Parks for purposes of Section 16 or any other purposes.
F5: Shares are held by RCP III AIV L.P. Riverwood Capital III L.P. is the general partner of RCP III AIV L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by RCP III AIV L.P.
F6: Shares are held by Riverwood Capital Partners III (Parallel-A) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-A) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-A) L.P.
F7: Shares are held by Riverwood Capital Partners III (Parallel-B) L.P. Riverwood Capital III L.P. is the general partner of Riverwood Capital Partners (Parallel-B) L.P. Riverwood Capital GP III Ltd. is the general partner of Riverwood Capital III L.P. Consequently, Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the shares held by Riverwood Capital Partners III (Parallel-B) L.P.
F8: In connection with the Merger, these shares were cancelled and converted into the right to receive the Merger Consideration.
F9: Represents shares of Class B common stock that were disposed of at the Effective Time of the Merger pursuant to the Merger Agreement.
Vacasa, Inc.
Report date April 30, 2025 · Filed May 02, 2025
Jointly reported with RCP III (A) Blocker Feeder L.P., Riverwood Capital II L.P., Riverwood Capital III L.P., Riverwood Capital GP II Ltd., Riverwood Capital GP III Ltd., RW Industrious Blocker L.P., RCP III Blocker Feeder L.P., RW Vacasa AIV L.P., RCP III Vacasa AIV L.P.
Section 16 reporting ended · disclosed 2025-05-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectHeld through RW Vacasa AIV L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2025-04-30 · Other · Disposed 1,415,587 · Balance 0 F1: This Form 4 is filed by Jeffrey T. Parks and RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., RW Industrious Blocker L.P., Riverwood Capital II L.P., Riverwood Capital GP II Ltd., RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P., RCP III (A) Blocker Feeder L.P., Riverwood Capital III L.P., and Riverwood Capital GP III Ltd. (collectively, the "Riverwood Entities"). Mr. Parks is a member of the board of directors of Vacasa, Inc. (the "Issuer") and a member of the investment committees of Riverwood Capital II L.P. and Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP II Ltd. and Riverwood Capital GP III Ltd. F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F4: The general partner of RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P. and RW Industrious Blocker L.P. is Riverwood Capital II L.P. The general partner of Riverwood Capital II L.P. is Riverwood Capital GP II Ltd. Riverwood Capital II L.P. and Riverwood Capital GP II Ltd. may be deemed to beneficially own the securities directly held by RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., and RW Industrious Blocker L.P. F5: Immediately prior to the effective time of the Merger, RW Industrious Blocker L.P. contributed all of its Common Stock to RW Casago LLC, the managing member of which is Riverwood Capital II L.P. RW Casago LLC then contributed all of such Common Stock to RW Vacasa AIV L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectHeld through Riverwood Capital Partners II (Parallel-B) L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2025-04-30 · Other · Disposed 327,626 · Balance 0 F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F4: The general partner of RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P. and RW Industrious Blocker L.P. is Riverwood Capital II L.P. The general partner of Riverwood Capital II L.P. is Riverwood Capital GP II Ltd. Riverwood Capital II L.P. and Riverwood Capital GP II Ltd. may be deemed to beneficially own the securities directly held by RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., and RW Industrious Blocker L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectHeld through RCP III Vacasa AIV L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2025-04-30 · Other · Disposed 469,216 · Balance 0 F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. F7: Immediately prior to the effective time of the Merger, RCP III Blocker Feeder L.P. contributed all of its Common Stock to RCP III Casago Blocker LLC, the managing member of which is Riverwood Capital III L.P. RCP III Casago Blocker LLC then contributed all of such Common Stock to RCP III Vacasa AIV L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectHeld through Riverwood Capital Partners III (Parallel-B) L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2025-04-30 · Other · Disposed 143,517 · Balance 0 F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. |
| Class A Common StockSEC Table I · non-derivative | IndirectHeld through RCP III (A) Vacasa AIV L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2025-04-30 · Other · Disposed 93,003 · Balance 0 F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. F8: Immediately prior to the effective time of the Merger, RCP III (A) Blocker Feeder L.P. contributed all of its Common Stock to RCP III (A) Casago Blocker LLC, the managing member of which is Riverwood Capital III L.P. RCP III (A) Casago Blocker LLC then contributed all of such Common Stock to RCP III (A) Vacasa AIV L.P. |
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-04-30 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2025-04-30 · Other · Disposed 30,380 · Balance 0 F9: These securities were held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Pursuant to the Merger Agreement, upon consummation of the Merger, all of the then-unvested restricted stock units held by Mr. Parks vested on their terms and each share of Common Stock held by Mr. Parks (including as a result of such vesting event) was automatically converted into the right to receive $5.30 in cash. Mr. Parks is obligated to transfer all amounts received in respect of these securities as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. |
| Units of Vacasa Holdings, LLCSEC Table II · derivative / convertible security | IndirectHeld through RW Vacasa AIV L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-04-30 · Other · Disposed 145,925 · Balance 0 F10: Pursuant to the terms of the limited liability company agreement of Vacasa Holdings, LLC, the Common Units and an equal number of paired shares of Class B Common Stock of the Issuer were together redeemable by the holder on a one-for-one basis for, at the option of the Issuer into (a) one share of Common Stock, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (b) an equivalent amount of cash. Upon redemption, Vacasa Holdings, LLC will cancel and retire for no consideration the redeemed shares of Class B Common Stock. Shares of Class B Common Stock of the Issuer have no economic rights and each share of Class B Common Stock entitles its holder to 1 vote per share. F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F4: The general partner of RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P. and RW Industrious Blocker L.P. is Riverwood Capital II L.P. The general partner of Riverwood Capital II L.P. is Riverwood Capital GP II Ltd. Riverwood Capital II L.P. and Riverwood Capital GP II Ltd. may be deemed to beneficially own the securities directly held by RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., and RW Industrious Blocker L.P. |
| Units of Vacasa Holdings, LLCSEC Table II · derivative / convertible security | IndirectHeld through Riverwood Capital Partners II (Parallel-B) L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-04-30 · Other · Disposed 80,965 · Balance 0 F10: Pursuant to the terms of the limited liability company agreement of Vacasa Holdings, LLC, the Common Units and an equal number of paired shares of Class B Common Stock of the Issuer were together redeemable by the holder on a one-for-one basis for, at the option of the Issuer into (a) one share of Common Stock, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (b) an equivalent amount of cash. Upon redemption, Vacasa Holdings, LLC will cancel and retire for no consideration the redeemed shares of Class B Common Stock. Shares of Class B Common Stock of the Issuer have no economic rights and each share of Class B Common Stock entitles its holder to 1 vote per share. F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F4: The general partner of RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P. and RW Industrious Blocker L.P. is Riverwood Capital II L.P. The general partner of Riverwood Capital II L.P. is Riverwood Capital GP II Ltd. Riverwood Capital II L.P. and Riverwood Capital GP II Ltd. may be deemed to beneficially own the securities directly held by RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., and RW Industrious Blocker L.P. |
| Units of Vacasa Holdings, LLCSEC Table II · derivative / convertible security | IndirectHeld through RCP III Vacasa AIV L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-04-30 · Other · Disposed 47,297 · Balance 0 F10: Pursuant to the terms of the limited liability company agreement of Vacasa Holdings, LLC, the Common Units and an equal number of paired shares of Class B Common Stock of the Issuer were together redeemable by the holder on a one-for-one basis for, at the option of the Issuer into (a) one share of Common Stock, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (b) an equivalent amount of cash. Upon redemption, Vacasa Holdings, LLC will cancel and retire for no consideration the redeemed shares of Class B Common Stock. Shares of Class B Common Stock of the Issuer have no economic rights and each share of Class B Common Stock entitles its holder to 1 vote per share. F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. |
| Units of Vacasa Holdings, LLCSEC Table II · derivative / convertible security | IndirectHeld through Riverwood Capital Partners III (Parallel-B) L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2025-04-30 · Other · Disposed 35,468 · Balance 0 F10: Pursuant to the terms of the limited liability company agreement of Vacasa Holdings, LLC, the Common Units and an equal number of paired shares of Class B Common Stock of the Issuer were together redeemable by the holder on a one-for-one basis for, at the option of the Issuer into (a) one share of Common Stock, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (b) an equivalent amount of cash. Upon redemption, Vacasa Holdings, LLC will cancel and retire for no consideration the redeemed shares of Class B Common Stock. Shares of Class B Common Stock of the Issuer have no economic rights and each share of Class B Common Stock entitles its holder to 1 vote per share. F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. |
| Units of Vacasa Holdings, LLCSEC Table II · derivative / convertible security | IndirectHeld through RCP III (A) Vacasa AIV L.P. | 0 |
Reported balance
After 2025-04-30 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-04-30 · Other · Disposed 14,388 · Balance 0 F10: Pursuant to the terms of the limited liability company agreement of Vacasa Holdings, LLC, the Common Units and an equal number of paired shares of Class B Common Stock of the Issuer were together redeemable by the holder on a one-for-one basis for, at the option of the Issuer into (a) one share of Common Stock, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (b) an equivalent amount of cash. Upon redemption, Vacasa Holdings, LLC will cancel and retire for no consideration the redeemed shares of Class B Common Stock. Shares of Class B Common Stock of the Issuer have no economic rights and each share of Class B Common Stock entitles its holder to 1 vote per share. F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable. F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed by Jeffrey T. Parks and RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., RW Industrious Blocker L.P., Riverwood Capital II L.P., Riverwood Capital GP II Ltd., RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P., RCP III (A) Blocker Feeder L.P., Riverwood Capital III L.P., and Riverwood Capital GP III Ltd. (collectively, the "Riverwood Entities"). Mr. Parks is a member of the board of directors of Vacasa, Inc. (the "Issuer") and a member of the investment committees of Riverwood Capital II L.P. and Riverwood Capital III L.P. and a shareholder of Riverwood Capital GP II Ltd. and Riverwood Capital GP III Ltd.
F2: On April 30, 2025, the Issuer completed the previously announced transaction with Casago Holdings, LLC ("Parent"), pursuant to the Agreement and Plan of Merger dated as of December 30, 2024 (as amended through the date hereof, the "Merger Agreement"), whereby Parent indirectly acquired the Issuer (the "Merger"). Pursuant to the terms of the Merger Agreement (a) 1,415,587 shares of Class A common stock, par value $0.00001 per share (the "Common Stock") and 145,925 limited liability company units of Vacasa Holdings, LLC (the "Common Units") (and corresponding shares of the Class B Common Stock of the Issuer) held by RW Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (b) 327,626 shares of Common Stock and 80,965 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners II (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent;
F3: (continued from footnote 2) (c) 469,216 shares of Common Stock and 47,297 Common Units (and corresponding shares of Class B Common Stock) held by RCP III Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent; (d) 143,517 shares of Common Stock and 35,468 Common Units (and corresponding shares of Class B Common Stock) held by Riverwood Capital Partners III (Parallel-B) L.P. were contributed to Parent in exchange for equity interests in Parent; and (e) 93,003 shares of Common Stock and 14,388 Common Units (and corresponding shares of Class B Common Stock) held by RCP III (A) Vacasa AIV L.P. were contributed to Parent in exchange for equity interests in Parent, in each case based on a value of $5.30 per share of Common Stock or Common Unit, as applicable.
F4: The general partner of RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P. and RW Industrious Blocker L.P. is Riverwood Capital II L.P. The general partner of Riverwood Capital II L.P. is Riverwood Capital GP II Ltd. Riverwood Capital II L.P. and Riverwood Capital GP II Ltd. may be deemed to beneficially own the securities directly held by RW Vacasa AIV L.P., Riverwood Capital Partners II (Parallel-B) L.P., and RW Industrious Blocker L.P.
F5: Immediately prior to the effective time of the Merger, RW Industrious Blocker L.P. contributed all of its Common Stock to RW Casago LLC, the managing member of which is Riverwood Capital II L.P. RW Casago LLC then contributed all of such Common Stock to RW Vacasa AIV L.P.
F6: The general partner of RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P. is Riverwood Capital III L.P. The general partner of Riverwood Capital III L.P. is Riverwood Capital GP III Ltd. Riverwood Capital III L.P. and Riverwood Capital GP III Ltd. may be deemed to beneficially own the securities directly held by RCP III Vacasa AIV L.P., RCP III (A) Vacasa AIV L.P., Riverwood Capital Partners III (Parallel-B) L.P., RCP III Blocker Feeder L.P. and RCP III (A) Blocker Feeder L.P.
F7: Immediately prior to the effective time of the Merger, RCP III Blocker Feeder L.P. contributed all of its Common Stock to RCP III Casago Blocker LLC, the managing member of which is Riverwood Capital III L.P. RCP III Casago Blocker LLC then contributed all of such Common Stock to RCP III Vacasa AIV L.P.
F8: Immediately prior to the effective time of the Merger, RCP III (A) Blocker Feeder L.P. contributed all of its Common Stock to RCP III (A) Casago Blocker LLC, the managing member of which is Riverwood Capital III L.P. RCP III (A) Casago Blocker LLC then contributed all of such Common Stock to RCP III (A) Vacasa AIV L.P.
F9: These securities were held by Mr. Parks for the benefit of one or more of the Riverwood Entities and/or certain of their affiliates (collectively, "Riverwood"). Pursuant to the Merger Agreement, upon consummation of the Merger, all of the then-unvested restricted stock units held by Mr. Parks vested on their terms and each share of Common Stock held by Mr. Parks (including as a result of such vesting event) was automatically converted into the right to receive $5.30 in cash. Mr. Parks is obligated to transfer all amounts received in respect of these securities as directed by Riverwood. Mr. Parks disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
F10: Pursuant to the terms of the limited liability company agreement of Vacasa Holdings, LLC, the Common Units and an equal number of paired shares of Class B Common Stock of the Issuer were together redeemable by the holder on a one-for-one basis for, at the option of the Issuer into (a) one share of Common Stock, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (b) an equivalent amount of cash. Upon redemption, Vacasa Holdings, LLC will cancel and retire for no consideration the redeemed shares of Class B Common Stock. Shares of Class B Common Stock of the Issuer have no economic rights and each share of Class B Common Stock entitles its holder to 1 vote per share.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 20,502 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · derivative · entry 20 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 704,023 Underlying: Class A Common Stock · 20,502 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_price: 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. F8 · derivative.exercise_date: 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. F8 · derivative.expiration_date: 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. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 59,467 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · derivative · entry 19 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,042,031 Underlying: Class A Common Stock · 59,467 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_price: 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. F8 · derivative.exercise_date: 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. F8 · derivative.expiration_date: 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. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 24,006 | $29.20 | $700,975.20 |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · nonDerivative · entry 6 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $29.16 to $29.36 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 20,502 | $29.20 | $598,658.40 |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · nonDerivative · entry 5 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $29.16 to $29.36 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 59,467 | $29.20 | $1,736,436.40 |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · nonDerivative · entry 4 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $29.16 to $29.36 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 24,006 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · nonDerivative · entry 3 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 24,006 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 20,502 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 20,502 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 21:20 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 59,467 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-026885 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 59,467 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 6,947 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · derivative · entry 9 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 848,352 Underlying: Class A Common Stock · 6,947 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 5,933 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · derivative · entry 8 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 724,525 Underlying: Class A Common Stock · 5,933 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 17,209 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · derivative · entry 7 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,101,498 Underlying: Class A Common Stock · 17,209 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 6,947 | $29.27 | $203,338.69 |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · nonDerivative · entry 6 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $29.16 to $29.39 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 5,933 | $29.27 | $173,658.91 |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · nonDerivative · entry 5 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $29.16 to $29.39 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 17,209 | $29.27 | $503,707.43 |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · nonDerivative · entry 4 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $29.16 to $29.39 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 6,947 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · nonDerivative · entry 3 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,947 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 5,933 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,933 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 20:26 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 17,209 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-026263 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 17,209 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 285,100 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · derivative · entry 9 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 855,299 Underlying: Class A Common Stock · 285,100 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F7 · balance_after: Due to a typographical error, the Reporting Person's Form 4 filed on June 28, 2017 understated the number of shares of Class B Common Stock held by RCP Parallel-B following the transactions reported therein by 99 shares. The number of shares of Class B Common Stock shown here has been corrected to reflect such shares. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 243,486 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · derivative · entry 8 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 730,458 Underlying: Class A Common Stock · 243,486 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 706,236 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · derivative · entry 7 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,118,707 Underlying: Class A Common Stock · 706,236 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 285,100 | $21.97 | $6,263,647.00 |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · nonDerivative · entry 6 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $21.87 to $22.20 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 243,486 | $21.97 | $5,349,387.42 |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · nonDerivative · entry 5 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $21.87 to $22.20 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 706,236 | $21.97 | $15,516,004.92 |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · nonDerivative · entry 4 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $21.87 to $22.20 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 285,100 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · nonDerivative · entry 3 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 285,100 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 243,486 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 243,486 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| July 14, 2017 Filed Jul 19, 2017 06:05 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 706,236 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-018501 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 706,236 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 28, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 142,550 | $20.23 | $2,883,786.50 |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · nonDerivative · entry 6 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $20.00 to $20.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 28, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 121,743 | $20.23 | $2,462,860.89 |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · nonDerivative · entry 5 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $20.00 to $20.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 28, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 353,118 | $20.23 | $7,143,577.14 |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · nonDerivative · entry 4 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F5 · price: These sales were executed in multiple trades at prices ranging from $20.00 to $20.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 142,550 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · derivative · entry 9 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,140,300 Underlying: Class A Common Stock · 142,550 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 121,743 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · derivative · entry 8 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 973,944 Underlying: Class A Common Stock · 121,743 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 353,118 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · derivative · entry 7 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,824,943 Underlying: Class A Common Stock · 353,118 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 142,550 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · nonDerivative · entry 3 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 142,550 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 121,743 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 121,743 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 21:30 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 353,118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017479 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 353,118 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 73,285 | $18.68 | $1,368,707.30 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 9 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F7 · price: These sales were executed in multiple trades at prices ranging from $18.405 to $19.235. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 62,588 | $18.68 | $1,168,924.78 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 8 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F7 · price: These sales were executed in multiple trades at prices ranging from $18.405 to $19.235. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 181,538 | $18.68 | $3,390,494.46 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 7 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F7 · price: These sales were executed in multiple trades at prices ranging from $18.405 to $19.235. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 142,550 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · derivative · entry 12 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,095,687 Underlying: Class A Common Stock · 142,550 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 121,743 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · derivative · entry 11 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,095,687 Underlying: Class A Common Stock · 121,743 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass B Common Stock · Derivative | 353,118 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · derivative · entry 10 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,178,061 Underlying: Class A Common Stock · 353,118 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 69,265 | $18.71 | $1,296,010.49 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 6 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 73,285 F5 · price: These sales were executed in multiple trades at prices ranging from $18.545 to $18.960. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 59,155 | $18.71 | $1,106,843.29 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 5 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 62,588 F5 · price: These sales were executed in multiple trades at prices ranging from $18.545 to $18.960. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | SaleClass A Common Stock | 171,580 | $18.71 | $3,210,416.22 |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 4 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 181,538 F5 · price: These sales were executed in multiple trades at prices ranging from $18.545 to $18.960. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 142,550 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 3 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 142,550 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 121,743 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 2 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 121,743 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 16:46 UTC | Nutanix, Inc. NTNX · Entity 3296 | ConversionClass A Common Stock | 353,118 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-015654 · doc4.xml · nonDerivative · entry 1 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 353,118 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 05, 2016 Filed Oct 5, 2016 20:42 UTC | Nutanix, Inc. NTNX · Entity 3296 | OtherClass B Common Stock · Derivative | 1,425,499 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-031306 · doc4.xml · derivative · entry 12 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,425,499 Underlying: Class A Common Stock · 1,425,499 shares Expires not disclosed F5 · derivative.exercise_price: Following the conversion of the Series D convertible preferred stock into common stock and immediately prior to the completion of the IPO, each share of common stock was reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. F5 · kind: Following the conversion of the Series D convertible preferred stock into common stock and immediately prior to the completion of the IPO, each share of common stock was reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F4 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RC CP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by the RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 05, 2016 Filed Oct 5, 2016 20:42 UTC | Nutanix, Inc. NTNX · Entity 3296 | OtherClass B Common Stock · Derivative | 1,217,430 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-031306 · doc4.xml · derivative · entry 11 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,217,430 Underlying: Class A Common Stock · 1,217,430 shares Expires not disclosed F5 · derivative.exercise_price: Following the conversion of the Series D convertible preferred stock into common stock and immediately prior to the completion of the IPO, each share of common stock was reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. F5 · kind: Following the conversion of the Series D convertible preferred stock into common stock and immediately prior to the completion of the IPO, each share of common stock was reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F3 · ownership.nature: The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RC CP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by the RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| October 05, 2016 Filed Oct 5, 2016 20:42 UTC | Nutanix, Inc. NTNX · Entity 3296 | OtherClass B Common Stock · Derivative | 3,531,179 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-16-031306 · doc4.xml · derivative · entry 10 Parks Jeffrey T · CIK 0001550469 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,531,179 Underlying: Class A Common Stock · 3,531,179 shares Expires not disclosed F5 · derivative.exercise_price: Following the conversion of the Series D convertible preferred stock into common stock and immediately prior to the completion of the IPO, each share of common stock was reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. F5 · kind: Following the conversion of the Series D convertible preferred stock into common stock and immediately prior to the completion of the IPO, each share of common stock was reclassified into one share of Class B common stock in an exempt transaction pursuant to Rule 16b-7. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F2 · ownership.nature: The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital, LP ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RC CP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by the RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.