Pure Storage, Inc. |
Class A Common Stock |
74624M 10 2 |
December 31, 2019 |
* | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
CUSIP No. 74624M 10 2 |
1. | Names of Reporting Persons. John Colgrove | |||||||||||||||||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [x] | |||||||||||||||||||
3. | SEC Use Only | |||||||||||||||||||
4. | Citizenship or Place of Organization: United States of America | |||||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With: | 5. | Sole Voting Power 8,396,799 (See item 4(a)(i) below) | ||||||||||||||||||
6. | Shared Voting Power 6,053,926 (See item 4(a)(ii) below) | |||||||||||||||||||
7. | Sole Dispositive Power 8,396,799 (See item 4(a)(i) below) | |||||||||||||||||||
8. | Shared Dispositive Power 6,053,926 (See item 4(a)(ii) below) | |||||||||||||||||||
9. | Aggregate Amount Beneficially Owned by Each Reporting Person 14,450,725 (See item 4(a) below) | |||||||||||||||||||
10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares | |||||||||||||||||||
11. | Percent of Class Represented by Amount in Row (9) 5.5% (See item 4(b) below) | |||||||||||||||||||
12. | Type of Reporting Person IN |
Item 1. |
(a) | Name of Issuer: Pure Storage, Inc. |
(b) | Address of Issuer’s Principal Executive Offices: 650 Castro Street, Mountain View, CA 94040 |
Item 2. |
(a) | Name of Person Filing: John Colgrove |
(b) | Address of Principal Business Office or, if none, Residence: c/o Pure Storage, Inc., 650 Castro Street, Mountain View, CA 94041 |
(c) | Citizenship: United States |
(d) | Title of Class of Securities: Class A Common Stock |
(e) | CUSIP Number: 74624M 10 2 |
Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
(a) [ ] | Broker or dealer registered under Section 15 of the Act; | |||||||||||||
(b) [ ] | Bank as defined in Section 3(a)(6) of the Act; | |||||||||||||
(c) [ ] | Insurance company as defined in Section 3(a)(19) of the Act; | |||||||||||||
(d) [ ] | Investment company registered under Section 8 of the Investment Company Act of 1940; | |||||||||||||
(e) [ ] | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); | |||||||||||||
(f) [ ] | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); | |||||||||||||
(g) [ ] | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); | |||||||||||||
(h) [ ] | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |||||||||||||
(i) [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; | |||||||||||||
(j) [ ] | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); | |||||||||||||
(k) [ ] | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
Item 4. | Ownership |
(a) | Amount beneficially owned: 14,450,725 shares of Class A Common Stock, consisting of (i) (A) 7,606,546 shares of Class A Common Stock of the Issuer held of record by Mr. Colgrove, (B) 233,309 unvested shares of Class A Common Stock subject to the Issuer's right of repurchase, held of record by Mr. Colgrove, (C) 500,000 shares of Class A Common Stock underlying vested stock options as of December 31, 2019, (D) 56,944 shares of Class A Common Stock underlying stock options which will vest between January 1, 2020 and February 29, 2020, and (ii) (A) 1,553,926 shares of Class A Common Stock held of record by the Colgrove Family Living Trust, (B) 2,250,000 shares of Class A Common Stock held of record by the Eric Edward Colgrove Irrevocable Trust DTD Feb 8, 2011, and (C) 2,250,000 shares of Class A Common Stock held of record by the Richard Winston Colgrove Irrevocable Trust DTD Feb 8, 2011. |
(b) | Percent of class: 5.5% The foregoing percentage is based on 260,375,453 shares of common stock outstanding as of December 4, 2019, as disclosed in the Issuer’s Form 10-Q filed on December 9, 2019. |
(c) | Number of shares as to which the person has: |
(i) | Sole power to vote or to direct the vote: 8,396,799 shares (See items 4(a)(i) above). |
(ii) | Shared power to vote or to direct the vote: 6,053,926 shares (See items 4(a)(ii) above). |
(iii) | Sole power to dispose or to direct the disposition of: 8,396,799 shares (See items 4(a)(i) above). |
(iv) | Shared power to dispose or to direct the disposition of: 6,053,926 shares (See items 4(b)(ii) above). |
Item 5. | Ownership of Five Percent or Less of a Class |
Ownership of 5 Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [ ]. |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
Not applicable |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
Not applicable |
Item 8. | Identification and Classification of Members of the Group |
Not applicable |
Item 9. | Notice of Dissolution of Group |
Not applicable |
Item 10. | Certifications |
Not applicable |
Date: February 13, 2019 | /s/ John Colgrove | |||||||
John Colgrove |