0001209191-18-043100.txt : 20180718 0001209191-18-043100.hdr.sgml : 20180718 20180718170328 ACCESSION NUMBER: 0001209191-18-043100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180716 FILED AS OF DATE: 20180718 DATE AS OF CHANGE: 20180718 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: 18958907 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 2018-07-16 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 2018-07-16 4 C 0 15000 0.00 A 15000 D Class A Common Stock 2018-07-16 4 S 0 14400 53.7494 D 600 D Class A Common Stock 2018-07-16 4 S 0 600 54.4217 D 0 D Class A Common Stock 2500 D Employee Stock Option (Right to Buy) 1.40 2018-07-16 4 M 0 15000 0.00 D 2023-08-29 Class B Common Stock 15000 177756 D Class B Common Stock 2018-07-16 4 M 0 15000 0.00 A Class A Common Stock 15000 15000 D Class B Common Stock 2018-07-16 4 C 0 15000 0.00 D Class A Common Stock 15000 0 D Employee Stock Option (Right to Buy) 7.17 2025-08-27 Class B Common Stock 135600 135600 D Employee Stock Option (Right to Buy) 8.97 2026-07-29 Class B Common Stock 315200 315200 D Employee Stock Option (Right to Buy) 39.21 2028-03-21 Class A Common Stock 81500 81500 D Restricted Stock Units Class A Common Stock 35300 35300 D Class B Common Stock Class A Common Stock 402886 I By Trust 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 $53.23 to $54.20 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 $54.35 to $54.44 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 shares subject to the option are fully vested and exercisable by the Reporting Person. The shares subject to the option shall vest in 48 equal monthly installments commencing on August 1, 2015, subject to the Reporting Person's continuous employment with the Issuer on each such 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. 25% of the shares subject to the option shall vest on February 1, 2019, 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. Each Restricted Stock Unit ("RSU") represents the right to receive one share of Class A Common Stock. 25% of the shares underlying the RSU shall vest on March 15, 2019, and the remaining shares underlying the RSU shall vest in 12 equal quarterly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer on each such date. /s/ Larissa Schwartz, attorney-in-fact of the Reporting Person 2018-07-18