| 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
Tintri, Inc. [ TNTR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 07/06/2017 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
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 | ||||||
| Common Stock | 03/30/2017 | A | 75,000 | A | $0.00(1) | 778,931 | D | |||
| Common Stock | 05/30/2017 | A | 385,416 | A | $0.00(2) | 1,164,347 | D | |||
| Common Stock | 06/01/2017 | D | 501,104 | D | $13.68 | 663,243 | D | |||
| Common Stock | 07/06/2017 | C | 20,435 | A | (3) | 683,678 | D | |||
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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 | ||||||||
| Stock Option (right to buy) | $13.68 | 05/30/2017 | A | 72,916 | (4) | 05/30/2027 | Common Stock | 72,916 | $0.00 | 72,916 | D | ||||
| Stock Option (right to buy) | $13.68 | 05/30/2017 | A | 501,104 | 07/06/2017 | 05/30/2027 | Common Stock | 501,104 | $0.00 | 501,104 | D | ||||
| Series F Preferred Stock | (5) | 06/01/2017 | D | 6,812 | (3) | (3) | Common Stock | 6,812 | $0.00 | 0 | D | ||||
| Series F Preferred Stock | (5) | 06/01/2017 | A | 6,812 | (3) | (3) | Common Stock | 20,435 | $0.00 | 6,812 | D | ||||
| Series F Preferred Stock | (3) | 07/06/2017 | C | 6,812 | (3) | (3) | Common Stock | 20,435 | $0.00 | 0 | D | ||||
| Explanation of Responses: |
| 1. Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 50% of the RSUs vest on March 19, 2019 and the remaining 50% of the RSUs shall vest on March 19, 2020. |
| 2. Each share is represented by a restricted stock unit (RSU). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. 3/8 of the RSU's vest on March 15, 2018 and an additional 1/8 of the RSU's shall vest every three months thereafter. |
| 3. The Series F Preferred Stock was, at the option of the holder, convertible into shares of Common Stock on a 1-for-1 basis and was automatically converted into shares of Common Stock on a 2.9999959-for-1 basis immediately prior to the closing of the Issuer's initial public offering. The Series F Preferred Stock had no expiration date. |
| 4. 1/24 of the shares subject to the option will vest on August 1, 2017 and an additional 1/24 of the shares vest monthly thereafter. |
| 5. See Exhibit 99.1 |
| Remarks: |
| /s/ Michael Coleman, by power of attorney | 07/10/2017 | |
| ** 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. | ||