0001209191-21-045999.txt : 20210708 0001209191-21-045999.hdr.sgml : 20210708 20210708170138 ACCESSION NUMBER: 0001209191-21-045999 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210706 FILED AS OF DATE: 20210708 DATE AS OF CHANGE: 20210708 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOROWITZ BENJAMIN A CENTRAL INDEX KEY: 0001166586 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38044 FILM NUMBER: 211080851 MAIL ADDRESS: STREET 1: 2865 SAND HILL ROAD #101 CITY: MENLO PARK STATE: CA ZIP: 94025 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Okta, Inc. CENTRAL INDEX KEY: 0001660134 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 264175727 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 100 FIRST STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 888-722-7871 MAIL ADDRESS: STREET 1: 100 FIRST STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-07-06 0 0001660134 Okta, Inc. OKTA 0001166586 HOROWITZ BENJAMIN A C/O OKTA, INC. 100 FIRST ST, SUITE 600 SAN FRANCISCO CA 94105 1 0 0 0 Class A Common Stock 2021-07-06 4 S 0 2700 243.8844 D 793869 I By Trust Class A Common Stock 2021-07-06 4 S 0 5444 245.4639 D 788425 I By Trust Class A Common Stock 2021-07-06 4 S 0 11165 246.2772 D 777260 I By Trust Class A Common Stock 2021-07-06 4 S 0 32935 247.0816 D 744325 I By Trust Class A Common Stock 2021-07-06 4 S 0 5707 248.1374 D 738618 I By Trust Class A Common Stock 2021-07-06 4 S 0 3000 249.2332 D 735618 I By Trust Class A Common Stock 2021-07-06 4 S 0 3949 250.5387 D 731669 I By Trust Class A Common Stock 2021-07-06 4 S 0 11200 251.4067 D 720469 I By Trust Class A Common Stock 2021-07-06 4 S 0 3900 252.2861 D 716569 I By Trust Class A Common Stock 2021-07-07 4 S 0 14872 248.9346 D 701697 I By Trust Class A Common Stock 2021-07-07 4 S 0 41087 249.5958 D 660610 I By Trust Class A Common Stock 2021-07-07 4 S 0 11724 250.5295 D 648886 I By Trust Class A Common Stock 2021-07-07 4 S 0 9117 251.6337 D 639769 I By Trust Class A Common Stock 2021-07-07 4 S 0 2600 252.8043 D 637169 I By Trust Class A Common Stock 2021-07-07 4 S 0 200 253.50 D 636969 I By Trust Class A Common Stock 1064 D Restricted Stock Units Class A Common Stock 862 862 D This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $243.64 to $244.40 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported securities are held directly by a family trust for which the Reporting Person is a trustee. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $244.75 to $245.74 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.75 to $246.74 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.75 to $247.74 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.75 to $248.74 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.77 to $249.72 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.91 to $250.89 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.945 to $251.93 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.94 to $252.71 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.19 to $249.18 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.195 to $250.18 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.19 to $251.175 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.19 to $252.18 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.31 to $253.27 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's Class A Common Stock. The RSUs vest in full on the earlier of June 17, 2022 or the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service to the Issuer through such vesting date. /s/ Larissa Schwartz, attorney-in-fact of the Reporting Person 2021-07-08