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SLP VI Aggregator GP, L.L.C.

Disclosed activity across 5 companies

Tapewire entity
92833
SEC CIK
0001830259

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
GLOBAL PAYMENTS INCGPN · Entity 3197DirectorOctober 27, 2022October 28, 2022
Root, Inc.ROOT · Entity 76410% ownerOctober 30, 2020November 06, 2020
Unity Software Inc.U · Entity 3292DirectorNovember 08, 2022November 10, 2022

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.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect73 Reported balance Holding disclosure · report date 2022-10-27 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 73

F11: Represents shares of Common Stock held directly by Joseph Osnoss.

1.00% Convertible Senior Notes due 2029SEC Table II · derivative / convertible security · Conversion / exercise price $140.67IndirectHeld through SLP VI Galaxy Holdings, L.P.Not disclosed Reported balance Holding disclosure · report date 2022-10-27 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F10: The initial Conversion Rate is equivalent to an initial conversion price of approximately $140.67 per share of Common Stock.

F7: On August 1, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on August 8, 2022, the Issuer issued an aggregate of $1.5 billion principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Galaxy, SLP Galaxy II, SLA Galaxy and SLP Co-Invest is restricted from converting the Convertible Notes prior to the earlier of (i) eighteen months after the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F8: The Convertible Notes mature on August 15, 2029, subject to earlier repurchase or conversion in accordance with their terms.

F9: Upon conversion of the Convertible Notes, the principal amount of, and interest due on, the Convertible Notes are required to be settled in cash and any other amounts may be settled in shares, cash or a combination of shares and cash at the Issuer's election. This number represents the number of shares of Common Stock underlying the Convertible Notes if the full amount of the Convertible Notes were permitted to be settled solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 7.1089 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F1: SLP VI Galaxy Holdings, L.P. ("SLP Galaxy") holds $350 million principal amount of 1.00% Convertible Senior Notes due 2029 (the "Convertible Notes") of Global Payments Inc. (the "Issuer"). SLP VI Galaxy GP, L.L.C. ("SLP Galaxy GP") is the general partner of SLP Galaxy.

F3: SLP VI Galaxy Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Galaxy GP and SLP Galaxy GP II. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F6: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP, SLAA II GP and SLP Co-Invest GP. Mr. Joseph Osnoss serves as a member of the board of directors of the Issuer and as a Managing Member of SLG. Each of SLP Galaxy, SLP Galaxy GP, SLP Galaxy II, SLP Galaxy GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Galaxy, SLA Galaxy GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP, SLP Co-Invest, SLP Co-Invest GP and SLG may be deemed to be a director by deputization of the Issuer.

1.00% Convertible Senior Notes due 2029SEC Table II · derivative / convertible security · Conversion / exercise price $140.67IndirectHeld through SLP VI Galaxy Holdings II, L.P.Not disclosed Reported balance Holding disclosure · report date 2022-10-27 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F10: The initial Conversion Rate is equivalent to an initial conversion price of approximately $140.67 per share of Common Stock.

F7: On August 1, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on August 8, 2022, the Issuer issued an aggregate of $1.5 billion principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Galaxy, SLP Galaxy II, SLA Galaxy and SLP Co-Invest is restricted from converting the Convertible Notes prior to the earlier of (i) eighteen months after the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F8: The Convertible Notes mature on August 15, 2029, subject to earlier repurchase or conversion in accordance with their terms.

F9: Upon conversion of the Convertible Notes, the principal amount of, and interest due on, the Convertible Notes are required to be settled in cash and any other amounts may be settled in shares, cash or a combination of shares and cash at the Issuer's election. This number represents the number of shares of Common Stock underlying the Convertible Notes if the full amount of the Convertible Notes were permitted to be settled solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 7.1089 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F2: SLP VI Galaxy Holdings II, L.P. ("SLP Galaxy II") holds $690 million principal amount of the Convertible Notes. SLP VI Galaxy GP II, L.L.C. ("SLP Galaxy GP II") is the general partner of SLP Galaxy II.

F3: SLP VI Galaxy Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Galaxy GP and SLP Galaxy GP II. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F6: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP, SLAA II GP and SLP Co-Invest GP. Mr. Joseph Osnoss serves as a member of the board of directors of the Issuer and as a Managing Member of SLG. Each of SLP Galaxy, SLP Galaxy GP, SLP Galaxy II, SLP Galaxy GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Galaxy, SLA Galaxy GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP, SLP Co-Invest, SLP Co-Invest GP and SLG may be deemed to be a director by deputization of the Issuer.

1.00% Convertible Senior Notes due 2029SEC Table II · derivative / convertible security · Conversion / exercise price $140.67IndirectHeld through SLA II Galaxy Holdings, L.P.Not disclosed Reported balance Holding disclosure · report date 2022-10-27 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance Not disclosed

F10: The initial Conversion Rate is equivalent to an initial conversion price of approximately $140.67 per share of Common Stock.

F7: On August 1, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on August 8, 2022, the Issuer issued an aggregate of $1.5 billion principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Galaxy, SLP Galaxy II, SLA Galaxy and SLP Co-Invest is restricted from converting the Convertible Notes prior to the earlier of (i) eighteen months after the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F8: The Convertible Notes mature on August 15, 2029, subject to earlier repurchase or conversion in accordance with their terms.

F6: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP, SLAA II GP and SLP Co-Invest GP. Mr. Joseph Osnoss serves as a member of the board of directors of the Issuer and as a Managing Member of SLG. Each of SLP Galaxy, SLP Galaxy GP, SLP Galaxy II, SLP Galaxy GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Galaxy, SLA Galaxy GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP, SLP Co-Invest, SLP Co-Invest GP and SLG may be deemed to be a director by deputization of the Issuer.

F4: SLA II Galaxy Holdings, L.P. ("SLA Galaxy") holds $260 million principal amount of the Convertible Notes. SLA II Galaxy GP, L.L.C. ("SLA Galaxy GP") is the general partner of SLA Galaxy. SLA II Galaxy Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Galaxy GP. SL Alpine II Aggregator GP, L.L.C. ("SLA II GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates II, L.P. ("SLAA II") is the managing member of SLA II GP. SLAA II (GP), L.L.C. ("SLAA II GP") is the general partner of SLAA II.

1.00% Convertible Senior Notes due 2029SEC Table II · derivative / convertible security · Conversion / exercise price $140.67IndirectHeld through SLP Galaxy Co-Invest, L.P.Not disclosed Reported balance Holding disclosure · report date 2022-10-27 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance Not disclosed

F10: The initial Conversion Rate is equivalent to an initial conversion price of approximately $140.67 per share of Common Stock.

F7: On August 1, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on August 8, 2022, the Issuer issued an aggregate of $1.5 billion principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Galaxy, SLP Galaxy II, SLA Galaxy and SLP Co-Invest is restricted from converting the Convertible Notes prior to the earlier of (i) eighteen months after the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F8: The Convertible Notes mature on August 15, 2029, subject to earlier repurchase or conversion in accordance with their terms.

F6: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP, SLAA II GP and SLP Co-Invest GP. Mr. Joseph Osnoss serves as a member of the board of directors of the Issuer and as a Managing Member of SLG. Each of SLP Galaxy, SLP Galaxy GP, SLP Galaxy II, SLP Galaxy GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Galaxy, SLA Galaxy GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP, SLP Co-Invest, SLP Co-Invest GP and SLG may be deemed to be a director by deputization of the Issuer.

F5: SLP Galaxy Co-Invest, L.P. ("SLP Co-Invest") holds $200 million principal amount of the Convertible Notes. SLP VI Co-Invest GP, L.L.C. ("SLP Co-Invest GP") is the general partner of SLP Co-Invest.

Filing footnotes · ownership attribution and instrument terms

F1: SLP VI Galaxy Holdings, L.P. ("SLP Galaxy") holds $350 million principal amount of 1.00% Convertible Senior Notes due 2029 (the "Convertible Notes") of Global Payments Inc. (the "Issuer"). SLP VI Galaxy GP, L.L.C. ("SLP Galaxy GP") is the general partner of SLP Galaxy.

F2: SLP VI Galaxy Holdings II, L.P. ("SLP Galaxy II") holds $690 million principal amount of the Convertible Notes. SLP VI Galaxy GP II, L.L.C. ("SLP Galaxy GP II") is the general partner of SLP Galaxy II.

F3: SLP VI Galaxy Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Galaxy GP and SLP Galaxy GP II. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F4: SLA II Galaxy Holdings, L.P. ("SLA Galaxy") holds $260 million principal amount of the Convertible Notes. SLA II Galaxy GP, L.L.C. ("SLA Galaxy GP") is the general partner of SLA Galaxy. SLA II Galaxy Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Galaxy GP. SL Alpine II Aggregator GP, L.L.C. ("SLA II GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates II, L.P. ("SLAA II") is the managing member of SLA II GP. SLAA II (GP), L.L.C. ("SLAA II GP") is the general partner of SLAA II.

F5: SLP Galaxy Co-Invest, L.P. ("SLP Co-Invest") holds $200 million principal amount of the Convertible Notes. SLP VI Co-Invest GP, L.L.C. ("SLP Co-Invest GP") is the general partner of SLP Co-Invest.

F6: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP, SLAA II GP and SLP Co-Invest GP. Mr. Joseph Osnoss serves as a member of the board of directors of the Issuer and as a Managing Member of SLG. Each of SLP Galaxy, SLP Galaxy GP, SLP Galaxy II, SLP Galaxy GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Galaxy, SLA Galaxy GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP, SLP Co-Invest, SLP Co-Invest GP and SLG may be deemed to be a director by deputization of the Issuer.

F7: On August 1, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on August 8, 2022, the Issuer issued an aggregate of $1.5 billion principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Galaxy, SLP Galaxy II, SLA Galaxy and SLP Co-Invest is restricted from converting the Convertible Notes prior to the earlier of (i) eighteen months after the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F8: The Convertible Notes mature on August 15, 2029, subject to earlier repurchase or conversion in accordance with their terms.

F9: Upon conversion of the Convertible Notes, the principal amount of, and interest due on, the Convertible Notes are required to be settled in cash and any other amounts may be settled in shares, cash or a combination of shares and cash at the Issuer's election. This number represents the number of shares of Common Stock underlying the Convertible Notes if the full amount of the Convertible Notes were permitted to be settled solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 7.1089 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F10: The initial Conversion Rate is equivalent to an initial conversion price of approximately $140.67 per share of Common Stock.

F11: Represents shares of Common Stock held directly by Joseph Osnoss.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectHeld through SLP Omni Aggregator, L.P.9,259,259 Reported balance Holding disclosure · report date 2020-10-30 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 9,259,259

F1: Represents securities held by SLP Omni Aggregator, L.P. ("SLP Omni"). SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Omni. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. The Reporting Persons are filing this Form 3 as beneficial owners of more than 10% of the Class A common stock, $0.0001 par value per share (the "Class A Common Stock") of Root, Inc. (the "Issuer"). The Class A Common Stock beneficially owned and reported herein represents approximately 3.7% of the total common stock of the Issuer as of the date of filing.

Filing footnotes · ownership attribution and instrument terms

F1: Represents securities held by SLP Omni Aggregator, L.P. ("SLP Omni"). SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Omni. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. The Reporting Persons are filing this Form 3 as beneficial owners of more than 10% of the Class A common stock, $0.0001 par value per share (the "Class A Common Stock") of Root, Inc. (the "Issuer"). The Class A Common Stock beneficially owned and reported herein represents approximately 3.7% of the total common stock of the Issuer as of the date of filing.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
2.00% Convertible Senior Notes due 2027SEC Table II · derivative / convertible security · Conversion / exercise price $48.89IndirectHeld through SLP VI Union Holdings, L.P.Not disclosed Reported balance Holding disclosure · report date 2022-11-08 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F9: The initial Conversion Rate is equivalent to an initial conversion price of approximately $48.89 per share of Common Stock.

F6: On July 13, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on November 8, 2022, the Issuer issued to certain of the Reporting Persons and their affiliates an aggregate of $940 million principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Union, SLP Union II and SLA Union are restricted from converting the Convertible Notes prior to the earlier of (i) twelve months after the date of issuance and (ii) the consummation of a change of control of the Issuer or entry into a definitive agreement for a transaction that, if consummated, would result in a change of control, in each case, subject to certain exceptions.

F7: The Convertible Notes mature on November 15, 2027, subject to earlier repurchase or conversion in accordance with their terms.

F8: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination thereof. This number represents the number of shares of Common Stock issuable upon conversion of the Convertible Notes if the Issuer elects to settle its conversion obligation solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 20.4526 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F1: SLP VI Union Holdings, L.P. ("SLP Union") holds $376 million principal amount of 2.00% Convertible Senior Notes due 2027 (the "Convertible Notes") of Unity Software Inc. (the "Issuer"). SLP VI Union GP, L.L.C. ("SLP Union GP") is the general partner of SLP Union.

F3: SLP VI Union Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Union GP and SLP Union GP II. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F5: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP and SLAA II GP. Mr. Egon Durban serves as a member of the board of directors of the Issuer and Co-CEO and as a Managing Member of SLG. Each of SLP Union, SLP Union GP, SLP Union II, SLP Union GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Union, SLA Union GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP and SLG may be deemed to be a director by deputization of the Issuer.

2.00% Convertible Senior Notes due 2027SEC Table II · derivative / convertible security · Conversion / exercise price $48.89IndirectHeld through SLP VI Union Holdings II, L.P.Not disclosed Reported balance Holding disclosure · report date 2022-11-08 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F9: The initial Conversion Rate is equivalent to an initial conversion price of approximately $48.89 per share of Common Stock.

F6: On July 13, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on November 8, 2022, the Issuer issued to certain of the Reporting Persons and their affiliates an aggregate of $940 million principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Union, SLP Union II and SLA Union are restricted from converting the Convertible Notes prior to the earlier of (i) twelve months after the date of issuance and (ii) the consummation of a change of control of the Issuer or entry into a definitive agreement for a transaction that, if consummated, would result in a change of control, in each case, subject to certain exceptions.

F7: The Convertible Notes mature on November 15, 2027, subject to earlier repurchase or conversion in accordance with their terms.

F8: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination thereof. This number represents the number of shares of Common Stock issuable upon conversion of the Convertible Notes if the Issuer elects to settle its conversion obligation solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 20.4526 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F2: SLP VI Union Holdings II, L.P. ("SLP Union II") holds $376 million principal amount of Convertible Notes. SLP VI Union GP II, L.L.C. ("SLP Union GP II") is the general partner of SLP Union II.

F3: SLP VI Union Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Union GP and SLP Union GP II. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F5: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP and SLAA II GP. Mr. Egon Durban serves as a member of the board of directors of the Issuer and Co-CEO and as a Managing Member of SLG. Each of SLP Union, SLP Union GP, SLP Union II, SLP Union GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Union, SLA Union GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP and SLG may be deemed to be a director by deputization of the Issuer.

2.00% Convertible Senior Notes due 2027SEC Table II · derivative / convertible security · Conversion / exercise price $48.89IndirectHeld through SLA Union Holdings L.P.Not disclosed Reported balance Holding disclosure · report date 2022-11-08 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F9: The initial Conversion Rate is equivalent to an initial conversion price of approximately $48.89 per share of Common Stock.

F6: On July 13, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on November 8, 2022, the Issuer issued to certain of the Reporting Persons and their affiliates an aggregate of $940 million principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Union, SLP Union II and SLA Union are restricted from converting the Convertible Notes prior to the earlier of (i) twelve months after the date of issuance and (ii) the consummation of a change of control of the Issuer or entry into a definitive agreement for a transaction that, if consummated, would result in a change of control, in each case, subject to certain exceptions.

F7: The Convertible Notes mature on November 15, 2027, subject to earlier repurchase or conversion in accordance with their terms.

F8: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination thereof. This number represents the number of shares of Common Stock issuable upon conversion of the Convertible Notes if the Issuer elects to settle its conversion obligation solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 20.4526 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F4: SLA Union Holdings, L.P. ("SLA Union") holds $188 million principal amount of the Convertible Notes. SLA Union GP, L.L.C. ("SLA Union GP") is the general partner of SLA Union. SLA Union Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Union GP. SL Alpine II Aggregator GP, L.L.C. ("SLA II GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates II, L.P. ("SLAA II") is the managing member of SLA II GP. SLAA II (GP), L.L.C. ("SLAA II GP") is the general partner of SLAA II.

F5: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP and SLAA II GP. Mr. Egon Durban serves as a member of the board of directors of the Issuer and Co-CEO and as a Managing Member of SLG. Each of SLP Union, SLP Union GP, SLP Union II, SLP Union GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Union, SLA Union GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP and SLG may be deemed to be a director by deputization of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: SLP VI Union Holdings, L.P. ("SLP Union") holds $376 million principal amount of 2.00% Convertible Senior Notes due 2027 (the "Convertible Notes") of Unity Software Inc. (the "Issuer"). SLP VI Union GP, L.L.C. ("SLP Union GP") is the general partner of SLP Union.

F2: SLP VI Union Holdings II, L.P. ("SLP Union II") holds $376 million principal amount of Convertible Notes. SLP VI Union GP II, L.L.C. ("SLP Union GP II") is the general partner of SLP Union II.

F3: SLP VI Union Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Union GP and SLP Union GP II. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F4: SLA Union Holdings, L.P. ("SLA Union") holds $188 million principal amount of the Convertible Notes. SLA Union GP, L.L.C. ("SLA Union GP") is the general partner of SLA Union. SLA Union Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Union GP. SL Alpine II Aggregator GP, L.L.C. ("SLA II GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates II, L.P. ("SLAA II") is the managing member of SLA II GP. SLAA II (GP), L.L.C. ("SLAA II GP") is the general partner of SLAA II.

F5: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI GP and SLAA II GP. Mr. Egon Durban serves as a member of the board of directors of the Issuer and Co-CEO and as a Managing Member of SLG. Each of SLP Union, SLP Union GP, SLP Union II, SLP Union GP II, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Union, SLA Union GP, SLA Aggregator, SLA II GP, SLAA II, SLAA II GP and SLG may be deemed to be a director by deputization of the Issuer.

F6: On July 13, 2022, affiliates of the Reporting Persons entered into an Investment Agreement with the Issuer (the "Investment Agreement"), pursuant to which, on November 8, 2022, the Issuer issued to certain of the Reporting Persons and their affiliates an aggregate of $940 million principal amount of the Issuer's Convertible Notes under an indenture governing the Convertible Notes. In accordance with the Investment Agreement, each of SLP Union, SLP Union II and SLA Union are restricted from converting the Convertible Notes prior to the earlier of (i) twelve months after the date of issuance and (ii) the consummation of a change of control of the Issuer or entry into a definitive agreement for a transaction that, if consummated, would result in a change of control, in each case, subject to certain exceptions.

F7: The Convertible Notes mature on November 15, 2027, subject to earlier repurchase or conversion in accordance with their terms.

F8: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election, cash, shares of Common Stock or a combination thereof. This number represents the number of shares of Common Stock issuable upon conversion of the Convertible Notes if the Issuer elects to settle its conversion obligation solely through the delivery of shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 20.4526 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F9: The initial Conversion Rate is equivalent to an initial conversion price of approximately $48.89 per share of Common Stock.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Section 16 reporting ended · disclosed 2023-06-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectHeld through Silver Lake Partners VI DE (AIV), L.P.0 Reported balance After 2023-06-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-06-28 · Disposition to issuer · Disposed 2,286,624 · Balance 0

F1: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

Class A Common StockSEC Table I · non-derivativeIndirectHeld through Silver Lake Technology Investors VI, L.P.0 Reported balance After 2023-06-28 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2023-06-28 · Disposition to issuer · Disposed 182,731 · Balance 0

F1: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

Class A Common StockSEC Table I · non-derivativeIndirectHeld through SLP Quartz Aggregator, L.P.0 Reported balance After 2023-06-28 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2023-06-28 · Disposition to issuer · Disposed 22,518,484 · Balance 0

F1: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

Section 16 reporting ended · disclosed 2024-03-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2024-03-18 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-03-18 · Disposition to issuer · Disposed 9,798 · Balance 0

F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F2: Includes 1,616 restricted stock units which were canceled in connection with the Merger and converted into the right to receive an amount of cash equal to the product of the number of shares subject to such restricted stock unit multiplied by the Merger Consideration.

F3: These securities were held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates, and certain of the funds they manage ("Silver Lake"). Mr. Hao served as a member of the board of directors of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners.

Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2024-03-18 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2024-03-18 · Disposition to issuer · Disposed 15 · Balance 0

F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F4: These securities are held by a trust for the benefit of Mr. Hao's family.

0.75% Convertible Senior Notes due 2026SEC Table II · derivative / convertible securityIndirectHeld through SLP Spark Holdings, L.P.Not disclosed Reported balance After 2024-03-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2024-03-18 · Disposition to issuer · Disposed Not disclosed · Balance Not disclosed

F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F6: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F7: Represents securities held by SLP Spark Holdings, L.P. ("SLP Spark"). SLP Spark GP, L.L.C. ("SLP Spark GP") is the general partner of SLP Spark. SLP Spark Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Spark GP. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F9: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

0.75% Convertible Senior Notes due 2026SEC Table II · derivative / convertible securityIndirectHeld through SLA Spark Holdings, L.P.Not disclosed Reported balance After 2024-03-18 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2024-03-18 · Disposition to issuer · Disposed Not disclosed · Balance Not disclosed

F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F6: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F8: Represents securities held by SLA Spark Holdings, L.P. ("SLA Spark"). SLA Spark GP, L.L.C. ("SLA Spark GP") is the general partner of SLA Spark. SLA Spark Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Spark GP. SL Alpine Aggregator GP, L.L.C. ("SLA GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates, L.P. ("SLAA") is the managing member of SLA GP. SLAA (GP), L.L.C. ("SLAA GP") is the general partner of SLAA.

F9: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F2: Includes 1,616 restricted stock units which were canceled in connection with the Merger and converted into the right to receive an amount of cash equal to the product of the number of shares subject to such restricted stock unit multiplied by the Merger Consideration.

F3: These securities were held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates, and certain of the funds they manage ("Silver Lake"). Mr. Hao served as a member of the board of directors of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners.

F4: These securities are held by a trust for the benefit of Mr. Hao's family.

F5: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F6: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F7: Represents securities held by SLP Spark Holdings, L.P. ("SLP Spark"). SLP Spark GP, L.L.C. ("SLP Spark GP") is the general partner of SLP Spark. SLP Spark Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Spark GP. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F8: Represents securities held by SLA Spark Holdings, L.P. ("SLA Spark"). SLA Spark GP, L.L.C. ("SLA Spark GP") is the general partner of SLA Spark. SLA Spark Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Spark GP. SL Alpine Aggregator GP, L.L.C. ("SLA GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates, L.P. ("SLAA") is the managing member of SLA GP. SLAA (GP), L.L.C. ("SLAA GP") is the general partner of SLAA.

F9: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 18, 2024 Filed Mar 20, 2024 20:00 UTC SPLUNK INC SPLK · Entity 92815 Disposition to issuer0.75% Convertible Senior Notes due 2026 · Derivative Not disclosed Not disclosed $190,000,000.00
Disclosure

SEC source: 0000950170-24-034363 · ownership.xml · derivative · entry 4

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director

Silver Lake Group, L.L.C. · CIK 0001418226 · Director

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director

SLP Spark Aggregator, L.P. · CIK 0001871568 · Director

SLP Spark GP, L.L.C. · CIK 0001871565 · Director

SLP Spark Holdings, L.P. · CIK 0001871570 · Director

Hao Kenneth · CIK 0001415357 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through SLA Spark Holdings, L.P.

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5 · derivative.exercise_price: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F1 · kind: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5 · kind: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F1 · price: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5 · price: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F6 · price: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F6 · derivative.exercise_date: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F6 · derivative.expiration_date: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F5 · derivative.underlying_shares: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F8 · ownership.nature: Represents securities held by SLA Spark Holdings, L.P. ("SLA Spark"). SLA Spark GP, L.L.C. ("SLA Spark GP") is the general partner of SLA Spark. SLA Spark Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Spark GP. SL Alpine Aggregator GP, L.L.C. ("SLA GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates, L.P. ("SLAA") is the managing member of SLA GP. SLAA (GP), L.L.C. ("SLAA GP") is the general partner of SLAA.

F9 · ownership.nature: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

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March 18, 2024 Filed Mar 20, 2024 20:00 UTC SPLUNK INC SPLK · Entity 92815 Disposition to issuer0.75% Convertible Senior Notes due 2026 · Derivative Not disclosed Not disclosed $760,000,000.00
Disclosure

SEC source: 0000950170-24-034363 · ownership.xml · derivative · entry 3

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director

Silver Lake Group, L.L.C. · CIK 0001418226 · Director

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director

SLP Spark Aggregator, L.P. · CIK 0001871568 · Director

SLP Spark GP, L.L.C. · CIK 0001871565 · Director

SLP Spark Holdings, L.P. · CIK 0001871570 · Director

Hao Kenneth · CIK 0001415357 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through SLP Spark Holdings, L.P.

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5 · derivative.exercise_price: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F1 · kind: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5 · kind: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F1 · price: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F5 · price: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F6 · price: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F6 · derivative.exercise_date: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F6 · derivative.expiration_date: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms. On March 19, 2024 the Convertible Notes were converted and an aggregate of $832,376,320 and $208,094,080 were received by SLP Spark Holdings, L.P. and SLA Spark Holdings, L.P., respectively.

F5 · underlyingValue: Following the Merger, the 0.75% Convertible Senior Notes due 2026 ("Convertible Notes") are no longer convertible into shares of Common Stock, but instead automatically became convertible into an amount of cash equal to the product of the number of shares issuable upon conversion of the principal amount thereof, based on a conversion rate of 6.2500 per $1,000 principal amount of Convertible Notes (equivalent to a conversion price of approximately $160.00 per share of Common Stock), as adjusted pursuant to the terms of the Indenture governing the Convertible Notes to reflect the increase in the conversion rate applicable to the Convertible Notes surrendered in connection with a make-whole fundamental change, multiplied by the Merger Consideration.

F7 · ownership.nature: Represents securities held by SLP Spark Holdings, L.P. ("SLP Spark"). SLP Spark GP, L.L.C. ("SLP Spark GP") is the general partner of SLP Spark. SLP Spark Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Spark GP. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F9 · ownership.nature: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao served as a member of the board of directors of the Issuer and serves as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may have been deemed to be a director by deputization of the Issuer.

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March 18, 2024 Filed Mar 20, 2024 20:00 UTC SPLUNK INC SPLK · Entity 92815 Disposition to issuerCommon Stock 15 $157.00 $2,355.00
Disclosure

SEC source: 0000950170-24-034363 · ownership.xml · nonDerivative · entry 2

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director

Silver Lake Group, L.L.C. · CIK 0001418226 · Director

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director

SLP Spark Aggregator, L.P. · CIK 0001871568 · Director

SLP Spark GP, L.L.C. · CIK 0001871565 · Director

SLP Spark Holdings, L.P. · CIK 0001871570 · Director

Hao Kenneth · CIK 0001415357 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F1 · price: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F4 · ownership.nature: These securities are held by a trust for the benefit of Mr. Hao's family.

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March 18, 2024 Filed Mar 20, 2024 20:00 UTC SPLUNK INC SPLK · Entity 92815 Disposition to issuerCommon Stock 9,798 $157.00 $1,538,286.00
Disclosure

SEC source: 0000950170-24-034363 · ownership.xml · nonDerivative · entry 1

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director

Silver Lake Group, L.L.C. · CIK 0001418226 · Director

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director

SLP Spark Aggregator, L.P. · CIK 0001871568 · Director

SLP Spark GP, L.L.C. · CIK 0001871565 · Director

SLP Spark Holdings, L.P. · CIK 0001871570 · Director

Hao Kenneth · CIK 0001415357 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F2 · shares: Includes 1,616 restricted stock units which were canceled in connection with the Merger and converted into the right to receive an amount of cash equal to the product of the number of shares subject to such restricted stock unit multiplied by the Merger Consideration.

F1 · price: On March 18, 2024, pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), Spirit Merger Corp. merged with and into Splunk Inc. (the "Issuer"), with the Issuer continuing as the surviving corporation and a subsidiary of Cisco Systems, Inc. (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger, each share of common stock of the Issuer ("Common Stock") outstanding was converted into the right to receive $ 157.00 per share in cash, subject to any required tax withholding (the "Merger Consideration"). Each restricted stock unit held by a non-employee member of the board of directors of the Issuer was converted into the right to receive an amount in cash, without interest, equal to the product of the number of shares subject to such award multiplied by the Merger Consideration. Mr. Kenneth Hao resigned from the board of directors of the Issuer effective upon closing of the Merger.

F3 · ownership.nature: These securities were held by Mr. Hao for the benefit of Silver Lake Technology Management, L.L.C., certain of its affiliates, and certain of the funds they manage ("Silver Lake"). Mr. Hao served as a member of the board of directors of the Issuer. Pursuant to Mr. Hao's arrangement with Silver Lake with respect to director compensation, upon the sale of these securities, the proceeds from such sale(s) are expected to be remitted to Silver Lake and/or its limited partners.

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June 28, 2023 Filed Jun 28, 2023 16:34 UTC Qualtrics International Inc. XM · Entity 111837 Disposition to issuerClass A Common Stock 22,518,484 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-016625 · doc4.xml · nonDerivative · entry 3

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director · 10% owner

Silver Lake Group, L.L.C. · CIK 0001418226 · Director · 10% owner

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director · 10% owner

Silver Lake Partners VI DE (AIV), L.P. · CIK 0001850029 · Director · 10% owner

Silver Lake Technology Investors VI L.P. · CIK 0001850130 · Director · 10% owner

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director · 10% owner

SLP Quartz Aggregator, L.P. · CIK 0001841116 · Director · 10% owner

Durban Egon · CIK 0001651403 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through SLP Quartz Aggregator, L.P.

Disclosed balance after: 0

F1 · price: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2 · ownership.nature: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

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June 28, 2023 Filed Jun 28, 2023 16:34 UTC Qualtrics International Inc. XM · Entity 111837 Disposition to issuerClass A Common Stock 182,731 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-016625 · doc4.xml · nonDerivative · entry 2

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director · 10% owner

Silver Lake Group, L.L.C. · CIK 0001418226 · Director · 10% owner

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director · 10% owner

Silver Lake Partners VI DE (AIV), L.P. · CIK 0001850029 · Director · 10% owner

Silver Lake Technology Investors VI L.P. · CIK 0001850130 · Director · 10% owner

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director · 10% owner

SLP Quartz Aggregator, L.P. · CIK 0001841116 · Director · 10% owner

Durban Egon · CIK 0001651403 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through Silver Lake Technology Investors VI, L.P.

Disclosed balance after: 0

F1 · price: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2 · ownership.nature: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

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June 28, 2023 Filed Jun 28, 2023 16:34 UTC Qualtrics International Inc. XM · Entity 111837 Disposition to issuerClass A Common Stock 2,286,624 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-016625 · doc4.xml · nonDerivative · entry 1

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director · 10% owner

Silver Lake Group, L.L.C. · CIK 0001418226 · Director · 10% owner

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director · 10% owner

Silver Lake Partners VI DE (AIV), L.P. · CIK 0001850029 · Director · 10% owner

Silver Lake Technology Investors VI L.P. · CIK 0001850130 · Director · 10% owner

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director · 10% owner

SLP Quartz Aggregator, L.P. · CIK 0001841116 · Director · 10% owner

Durban Egon · CIK 0001651403 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Held through Silver Lake Partners VI DE (AIV), L.P.

Disclosed balance after: 0

F1 · price: Pursuant the Agreement and Plan of Merger, dated as of March 12, 2023, by and among the Issuer, Quartz Holdco, LLC ("Parent"), and Quartz MergerCo, Inc. ("Merger Sub"), on June 28, 2023, Merger Sub merged with and into the Issuer with the Issuer surviving such merger as a wholly owned subsidiary of Parent (the "Merger"). Immediately prior to the effective time of the Merger, each share of the Issuer's Common Stock beneficially owned by the reporting persons was contributed to Parent in exchange for class A units of Parent. Each such share of the Issuer's Common Stock was then cancelled and ceased to exist.

F2 · ownership.nature: Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the general partner of each of Silver Lake Partners VI DE (AIV), L.P. ("SLP VI") and Silver Lake Technology Investors VI, L.P. ("SLTI VI"), and the managing member of SLP VI Aggregator GP, L.L.C. ("SLP VI GP"). SLP VI GP is the general partner of SLP Quartz Aggregator, L.P. ("SLP Quartz"). SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI. Silver Lake Group, L.L.C. ("SLG") is the managing member of SLTA VI GP. Prior to the consummation of the Merger, Mr. Egon Durban served as a member of the board of directors of the Issuer and is Co-CEO and Managing Member of SLG. Each of SLP VI, SLTI VI, SLP Quartz, SLP VI GP, SLTA VI, SLTA VI GP and SLG may be deemed to be a director by deputization of the Issuer.

Read SEC document
July 15, 2021 Filed Jul 16, 2021 17:07 UTC SPLUNK INC SPLK · Entity 92815 Other0.75% Convertible Senior Notes due 2026 · Derivative Not disclosed $10,003,500.00 Strike: $160.00 $10,000,000.00
Disclosure

SEC source: 0000899243-21-028673 · doc4.xml · derivative · entry 2

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director

Silver Lake Group, L.L.C. · CIK 0001418226 · Director

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director

SLP Spark Aggregator, L.P. · CIK 0001871568 · Director

SLP Spark GP, L.L.C. · CIK 0001871565 · Director

SLP Spark Holdings, L.P. · CIK 0001871570 · Director

Hao Kenneth · CIK 0001415357 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through SLA Spark Holdings, L.P.

Disclosed balance after: Not disclosed

Underlying: Common Stock · 62,500 shares

Expires not disclosed

F5 · derivative.exercise_price: The initial Conversion Rate (as defined below) is equivalent to an initial conversion price of $160.00 per share of Common Stock.

F1 · kind: This filing reflects the consummation of a planned syndication of a small portion of the $1 billion in aggregate of 0.75% Convertible Senior Notes due 2026 (the "Convertible Notes") of Splunk Inc. (the "Issuer") purchased by SLP Spark Holdings, L.P. ("SLP Spark") and SLA Spark Holdings, L.P. ("SLA Spark") on July 9, 2021, which syndication was completed on July 15, 2021 through the transfer of $50 million of Convertible Notes to an unaffiliated third party, with consent to transfer by the Issuer, for aggregate consideration of $50,017,500.

F6 · derivative.exercise_date: In accordance with the Investment Agreement dated June 22, 2021, SLP Spark and SLA Spark are restricted from exercising the Convertible Notes prior to the earlier of (i) the second anniversary of the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F7 · derivative.expiration_date: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms.

F8 · derivative.underlying_shares: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election (or at the holder's election if in connection with a redemption), cash, Common Stock or combination thereof. Upon a redemption of the Convertible Notes at the Issuer's option, the redemption price will be paid in cash, unless holders elect to convert instead. This number represents the number of shares of Common Stock issuable upon conversion of the Convertible Notes transferred if the Issuer elects to settle its conversion obligation solely through shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 6.2500 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F3 · ownership.nature: Represents securities held by SLA Spark. SLA Spark GP, L.L.C. ("SLA Spark GP") is the general partner of SLA Spark. SLA Spark Aggregator, L.P. ("SLA Aggregator") is the managing member of SLA Spark GP. SL Alpine Aggregator GP, L.L.C. ("SLA GP") is the general partner of SLA Aggregator. Silver Lake Alpine Associates, L.P. ("SLAA") is the managing member of SLA GP. SLAA (GP), L.L.C. ("SLAA GP") is the general partner of SLAA.

F4 · ownership.nature: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may be deemed to be a director by deputization of the Issuer.

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July 15, 2021 Filed Jul 16, 2021 17:07 UTC SPLUNK INC SPLK · Entity 92815 Other0.75% Convertible Senior Notes due 2026 · Derivative Not disclosed $40,014,000.00 Strike: $160.00 $40,000,000.00
Disclosure

SEC source: 0000899243-21-028673 · doc4.xml · derivative · entry 1

SLTA VI (GP), L.L.C. · CIK 0001830356 · Director

Silver Lake Group, L.L.C. · CIK 0001418226 · Director

Silver Lake Technology Associates VI, L.P. · CIK 0001830249 · Director

SLP VI Aggregator GP, L.L.C. · CIK 0001830259 · Director

SLP Spark Aggregator, L.P. · CIK 0001871568 · Director

SLP Spark GP, L.L.C. · CIK 0001871565 · Director

SLP Spark Holdings, L.P. · CIK 0001871570 · Director

Hao Kenneth · CIK 0001415357 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through SLP Spark Holdings, L.P.

Disclosed balance after: Not disclosed

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F5 · derivative.exercise_price: The initial Conversion Rate (as defined below) is equivalent to an initial conversion price of $160.00 per share of Common Stock.

F1 · kind: This filing reflects the consummation of a planned syndication of a small portion of the $1 billion in aggregate of 0.75% Convertible Senior Notes due 2026 (the "Convertible Notes") of Splunk Inc. (the "Issuer") purchased by SLP Spark Holdings, L.P. ("SLP Spark") and SLA Spark Holdings, L.P. ("SLA Spark") on July 9, 2021, which syndication was completed on July 15, 2021 through the transfer of $50 million of Convertible Notes to an unaffiliated third party, with consent to transfer by the Issuer, for aggregate consideration of $50,017,500.

F6 · derivative.exercise_date: In accordance with the Investment Agreement dated June 22, 2021, SLP Spark and SLA Spark are restricted from exercising the Convertible Notes prior to the earlier of (i) the second anniversary of the date of issuance and (ii) immediately prior to the consummation of a change of control of the Issuer, in each case, subject to certain exceptions.

F7 · derivative.expiration_date: The Convertible Notes mature on July 15, 2026, subject to earlier redemption, repurchase or conversion in accordance with their terms.

F8 · derivative.underlying_shares: Upon conversion of the Convertible Notes, the Issuer will deliver, at its election (or at the holder's election if in connection with a redemption), cash, Common Stock or combination thereof. Upon a redemption of the Convertible Notes at the Issuer's option, the redemption price will be paid in cash, unless holders elect to convert instead. This number represents the number of shares of Common Stock issuable upon conversion of the Convertible Notes transferred if the Issuer elects to settle its conversion obligation solely through shares of Common Stock by delivering a number of shares of Common Stock at the initial conversion rate of 6.2500 shares of Common Stock (the "Conversion Rate"), and cash in lieu of fractional shares of Common Stock, per $1,000 principal amount of Convertible Notes. The initial Conversion Rate is subject to adjustment from time to time upon the occurrence of certain customary events in accordance with the terms of an indenture governing the Convertible Notes.

F2 · ownership.nature: Represents securities held by SLP Spark. SLP Spark GP, L.L.C. ("SLP Spark GP") is the general partner of SLP Spark. SLP Spark Aggregator, L.P. ("SLP Aggregator") is the managing member of SLP Spark GP. SLP VI Aggregator GP, L.L.C. ("SLP VI GP") is the general partner of SLP Aggregator. Silver Lake Technology Associates VI, L.P. ("SLTA VI") is the managing member of SLP VI GP. SLTA VI (GP), L.L.C. ("SLTA VI GP") is the general partner of SLTA VI.

F4 · ownership.nature: Silver Lake Group, L.L.C. ("SLG") is the managing member of each of SLTA VI and SLAA. Mr. Kenneth Hao serves as a member of the board of directors of the Issuer and as Chairman and Managing Member of SLG. Each of SLP Spark, SLP Spark GP, SLP Aggregator, SLP VI GP, SLTA VI, SLTA VI GP, SLA Spark, SLA Spark GP, SLA Aggregator, SLA GP, SLAA, SLAA GP and SLG may be deemed to be a director by deputization of the Issuer.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.