0001140361-18-029159.txt : 20180619 0001140361-18-029159.hdr.sgml : 20180619 20180619165937 ACCESSION NUMBER: 0001140361-18-029159 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180615 FILED AS OF DATE: 20180619 DATE AS OF CHANGE: 20180619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANKOLA JIM CENTRAL INDEX KEY: 0001183231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38069 FILM NUMBER: 18907767 MAIL ADDRESS: STREET 1: C/O CLOUDERA INC STREET 2: 1001 PAGE MILL ROAD, BLDG. 3 CITY: PALO ALTO STATE: CA ZIP: 94089 FORMER NAME: FORMER CONFORMED NAME: FRANKOLA JAMES DATE OF NAME CHANGE: 20020827 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cloudera, Inc. CENTRAL INDEX KEY: 0001535379 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 262922329 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 1001 PAGE MILL ROAD, BUILDING 3 CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 650 644 3950 MAIL ADDRESS: STREET 1: 1001 PAGE MILL ROAD, BUILDING 3 CITY: PALO ALTO STATE: CA ZIP: 94304 4 1 doc1.xml FORM 4 X0306 4 2018-06-15 0 0001535379 Cloudera, Inc. CLDR 0001183231 FRANKOLA JIM C/O CLOUDERA, INC. 1001 PAGE MILL ROAD, BUILDING 3 PALO ALTO CA 94089 0 1 0 0 Chief Financial Officer Common Stock 2018-06-15 4 M 0 11875 0 A 644234 D Common Stock 2018-06-15 4 M 0 7312 0 A 651546 D Common Stock 2018-06-15 4 M 0 11250 0 A 662796 D Common Stock 2018-06-15 4 M 0 10625 0 A 673421 D Common Stock 2018-06-15 4 F 0 18652 15.60 D 654769 D Restricted Stock Units 0 2018-06-15 4 M 0 11875 0 D Common Stock 11875 23750 D Restricted Stock Units 0 2018-06-15 4 M 0 7312 0 D Common Stock 7312 51188 D Restricted Stock Units 0 2018-06-15 4 M 0 11250 0 D Common Stock 11250 123750 D Restricted Stock Units 0 2018-06-15 4 M 0 10625 0 D Common Stock 10625 159375 D Vesting and release of restricted stock units ("RSUs") granted to the reporting person on March 15, 2017. Vesting and release of RSUs granted to the reporting person on June 15, 2016. Vesting and release of RSUs granted to the reporting person on June 15, 2017. Vesting and release of RSUs granted to the reporting person on June 15, 2018. Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the settlement of vested RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes. Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. The RSUs vested as to 1/8th of the total number of shares on March 15, 2017 and thereafter vested or will continue to vest as to 1/8th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. The RSUs vested as to 1/16th of the total number of shares on June 15, 2016 and thereafter vested or will continue to vest as to 1/16th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. The RSUs vested as to 1/16th of the total number of shares on June 15, 2017 and thereafter vested or will continue to vest as to 1/16th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. The RSUs will vest as to 1/16th of the total number of shares on June 15, 2018 and thereafter will vest as to 1/16th of the total number of RSUs in equal quarterly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. /s/ Jim Frankola by Jay Wedge, Attorney-in-Fact 2018-06-19