0001209191-17-056909.txt : 20171013 0001209191-17-056909.hdr.sgml : 20171013 20171013171925 ACCESSION NUMBER: 0001209191-17-056909 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171011 FILED AS OF DATE: 20171013 DATE AS OF CHANGE: 20171013 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Losch William E CENTRAL INDEX KEY: 0001306938 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38044 FILM NUMBER: 171137159 MAIL ADDRESS: STREET 1: DREAMWORKS ANIMATION SKG, INC. STREET 2: 1000 FLOWER STREET CITY: GLENDALE STATE: CA ZIP: 91201 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: 301 BRANNAN STREET, 1ST FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 888-722-7871 MAIL ADDRESS: STREET 1: 301 BRANNAN STREET, 1ST FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94107 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-10-11 0 0001660134 Okta, Inc. OKTA 0001306938 Losch William E C/O OKTA, INC. 301 BRANNAN STREET SAN FRANCISCO CA 94107 0 1 0 0 Chief Financial Officer Class A Common Stock 2017-10-11 4 C 0 12200 0.00 A 12200 D Class A Common Stock 2017-10-11 4 S 0 12200 28.6331 D 0 D Employee Stock Option (Right to Buy) 1.40 2017-10-11 4 M 0 12200 0.00 D 2023-08-29 Class B Common Stock 12200 349220 D Class B Common Stock 2017-10-11 4 M 0 12200 0.00 A Class A Common Stock 12200 12200 D Class B Common Stock 2017-10-11 4 C 0 12200 0.00 D Class A Common Stock 12200 0 D Class B Common Stock Class A Common Stock 361422 361422 I By Trust Employee Stock Option (Right to Buy) 7.17 2025-08-27 Class B Common Stock 150000 150000 D Employee Stock Option (Right to Buy) 8.97 2026-07-29 Class B Common Stock 350000 350000 D Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date. 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 $28.31 to $28.80 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. 25% of the shares subject to the option vested on June 24, 2014, and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person. Number of Derivative Securities Beneficially Owned Following Reported Transaction also reflects option exercise that occurred prior to the Issuer becoming a reporting company, which shares are reported in Table II. The shares subject to the option shall vest in 48 equal monthly installments commencing on August 1, 2015, subject to the Reporting Person's continued employment with the Issuer through each vesting date. The option is early exercisable by the Reporting Person. 20% of the shares subject to the option vested on July 29, 2017, 20% of the shares subject to the option shall vest on July 29, 2018, and the remaining shares subject to the option shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. The option is early exercisable by the Reporting Person. /s/ Larissa Schwartz, attorney-in-fact of the Reporting Person 2017-10-13