0001209191-18-061496.txt : 20181207 0001209191-18-061496.hdr.sgml : 20181207 20181207162609 ACCESSION NUMBER: 0001209191-18-061496 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181204 FILED AS OF DATE: 20181207 DATE AS OF CHANGE: 20181207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Colgrove John CENTRAL INDEX KEY: 0001651902 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37570 FILM NUMBER: 181223810 MAIL ADDRESS: STREET 1: C/O PURE STORAGE, INC. STREET 2: 650 CASTRO STREET, SUITE 400 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pure Storage, Inc. CENTRAL INDEX KEY: 0001474432 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 271069557 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 650 CASTRO STREET, SUITE 400 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 BUSINESS PHONE: 800-379-7873 MAIL ADDRESS: STREET 1: 650 CASTRO STREET, SUITE 400 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 FORMER COMPANY: FORMER CONFORMED NAME: PURE Storage, Inc. DATE OF NAME CHANGE: 20100804 FORMER COMPANY: FORMER CONFORMED NAME: Os76, Inc. DATE OF NAME CHANGE: 20091014 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-12-04 0 0001474432 Pure Storage, Inc. PSTG 0001651902 Colgrove John 650 CASTRO ST MOUNTAIN VIEW CA 94041 1 1 0 0 Chief Technology Officer Class A Common Stock 2018-12-04 4 C 0 7500000 A 7735484 D Class A Common Stock 2018-12-04 4 C 0 1553926 A 1553926 I By Trust Class A Common Stock 2018-12-04 4 C 0 2250000 A 2250000 I By Trust Class A Common Stock 2018-12-04 4 C 0 2250000 A 2250000 I By Trust Class B Common Stock 2018-12-04 4 C 0 7500000 0.00 D Class A Common Stock 7500000 0 D Class B Common Stock 2018-12-04 4 C 0 1553926 0.00 D Class A Common Stock 1553926 0 I By Trust Class B Common Stock 2018-12-04 4 C 0 2250000 0.00 D Class A Common Stock 2250000 0 I By Trust Class B Common Stock 2018-12-04 4 C 0 2250000 0.00 D Class A Common Stock 2250000 0 I By Trust Stock Option (right to buy) 2.98 2018-12-04 4 J 0 600000 0.00 D 2024-03-24 Class B Common Stock 600000 0 D Stock Option (right to buy) 2.98 2018-12-04 4 J 0 600000 0.00 A 2024-03-24 Class A Common Stock 600000 600000 D Stock Option (right to buy) 17.00 2018-12-04 4 J 0 83333 0.00 D 2025-09-22 Class B Common Stock 83333 0 D Stock Option (right to buy) 17.00 2018-12-04 4 J 0 83333 0.00 A 2025-09-22 Class A Common Stock 83333 83333 D Stock Option (right to buy) 17.00 2018-12-04 4 J 0 125000 0.00 D 2025-09-22 Class B Common Stock 125000 0 D Stock Option (right to buy) 17.00 2018-12-04 4 J 0 125000 0.00 A 2025-09-22 Class A Common Stock 125000 125000 D On December 4, 2018, the Issuer's outstanding shares of Class B Common Stock ceased to represent at least 10% of all outstanding shares of Class A Common Stock and Class B Common Stock. As a result, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation. Shares are held by Colgrove Family Living Trust. Shares are held by Eric Edward Colgrove Irrevocable Trust DTD Feb 8, 2011, Jeff Rothschild TTEE. Shares are held by Richard Winston Colgrove Irrevocable Trust DTD Feb 8, 2011, Jeff Rothschild TTEE. In connection with the automatic conversion described in footnote (1), outstanding Class B Common Stock options that were issued under the Issuer's 2009 Equity Incentive Plan remain unchanged, except that the underlying shares are now Class A Common Stock. The option vests in twenty-four (24) equal monthly installments beginning one month from April 1, 2018. The option shall be subject to accelerated vesting as set forth in optionee's grant notice with the Issuer. The option vests in twelve (12) equal monthly installments beginning one month from January 1, 2020. The option shall be subject to accelerated vesting in accordance with the terms of the Issuer's change in control severance benefit plan. The option vests in twelve (12) equal monthly installments beginning one month from January 1, 2021. The option shall be subject to accelerated vesting in accordance with the terms of the Issuer's change in control severance benefit plan. /s/ Joseph T. FitzGerald, attorney-in-fact 2018-12-07