FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Pure Storage, Inc. [ PSTG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/14/2018 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 03/16/2018 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 03/14/2018 | A | 486,355(1)(2) | A | $0.00 | 951,100 | D | |||
Class A Common Stock | 03/14/2018 | A | 374,817(1)(3) | A | $0.00 | 1,325,917 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. See remarks below. |
2. Represents shares of Class A Common Stock earned pursuant to a Performance-Based Restricted Stock Award ("PRSA"). The Issuer's Compensation Committee determined achievement of the performance criteria and certified the total number of shares earned under the PRSA on February 26, 2019 (the "Earned Shares"). 5/12th of the Earned Shares subject to this PRSA will be released on March 20, 2019, and 1/12th of the Earned Shares will vest on each of June 20, September 20, December 20, and March 20, over the following one and 3/4 years, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2015 Equity Incentive Plan) through such dates. |
3. Represents shares of Class A Common Stock earned pursuant to a PRSA. The Issuer's Compensation Committee determined achievement of the performance criteria and certified the number of Earned Shares on February 26, 2019. 1/3rd of the Earned Shares subject to this PRSA will vest on March 20, 2019, and 1/12th of the Earned Shares will vest on each of June 20, September 20, December 20 and March 20, over the following two years, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2015 Equity Incentive Plan) through such dates. |
Remarks: |
This report on Form 4/A amends and replaces in its entirety the Form 4 filed by the Reporting Person on March 16, 2018. This report on Form 4/A (i) adjusts the number of shares earned pursuant to the achievement of performance criteria under the PSRAs described herein, as determined and certified by the Issuer's Compensation Committee on February 26, 2019, (ii) adjusts the Amount of Securities Beneficially Owned Following the Reported Transaction(s), and (iii) also adjusts the Amount of Securities Beneficially Owned Following the Reported Transaction(s) reflected in the filings made between March 16, 2018 and the date of this filing. |
/s/ Joseph T. FitzGerald, attorney-in-fact | 02/28/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |