0001567619-19-023387.txt : 20191218
0001567619-19-023387.hdr.sgml : 20191218
20191218205657
ACCESSION NUMBER: 0001567619-19-023387
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191215
FILED AS OF DATE: 20191218
DATE AS OF CHANGE: 20191218
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: 191293963
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: 395 PAGE MILL ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94306
BUSINESS PHONE: 650 644 3950
MAIL ADDRESS:
STREET 1: 395 PAGE MILL ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94306
4
1
doc1.xml
FORM 4
X0306
4
2019-12-15
0
0001535379
Cloudera, Inc.
CLDR
0001183231
FRANKOLA JIM
C/O CLOUDERA, INC.
395 PAGE MILL ROAD
PALO ALTO
CA
94306
0
1
0
0
Chief Financial Officer
Common Stock
2019-12-15
4
M
0
7312
0
A
1241145
D
Common Stock
2019-12-15
4
M
0
11250
0
A
1252395
D
Common Stock
2019-05-15
4
M
0
10625
0
A
1263020
D
Common Stock
2019-12-15
4
M
0
23907
0
A
1286927
D
Common Stock
2019-12-15
4
M
0
127505
0
A
1414432
D
Common Stock
2019-12-15
4
M
0
63752
0
A
1478184
D
Common Stock
2019-05-16
4
F
0
121152
11.04
D
1357032
D
Common Stock
2019-09-23
5
G
0
200
0
D
1356832
D
Restricted Stock Units (RSU)
2019-12-15
4
M
0
7312
0
D
Common Stock
7312
7313
D
Restricted Stock Units (RSU)
2019-12-15
4
M
0
11250
0
D
Common Stock
11250
56250
D
Restricted Stock Units (RSU)
2019-12-15
4
M
0
10625
0
D
Common Stock
10625
95625
D
Restricted Stock Units (RSU)
2019-12-15
4
M
0
23907
0
D
Common Stock
23907
286886
D
Restricted Stock Units (RSU)
2019-12-15
4
M
0
127505
0
D
Common Stock
127505
0
D
Restricted Stock Units (RSU)
2019-12-15
4
M
0
63752
0
D
Common Stock
63752
0
D
Vesting and release of RSUs granted to the reporting person on March 17, 2016.
Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
Vesting and release of RSUs granted to the reporting person on March 8, 2017.
Vesting and release of RSUs granted to the reporting person on March 23, 2018.
Vesting and release of RSUs granted to the reporting person on February 1, 2019.
Vesting and release of RSUs granted to the reporting person on February 1, 2019.
Vesting and release of RSUs granted to the reporting person on July 31, 2019.
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.
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 vested 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.
The RSUs vested as to 1/16th of the total number of shares on March 15, 2019 and thereafter will vest as to 1/16th of the total number of RSUs in equal quarterly installments, until such time as the RSUs are 100% vested, subject to the continuing employment of the Reporting Person on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.
The RSUs became fully vested on December 15, 2020, subject to reporting person's continued service through each vesting date.
/s/Jay Wedge, Attorney-in-Fact
2019-12-18