0001869745-22-000001.txt : 20220621 0001869745-22-000001.hdr.sgml : 20220621 20220621185006 ACCESSION NUMBER: 0001869745-22-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220616 FILED AS OF DATE: 20220621 DATE AS OF CHANGE: 20220621 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Henry Gregory N CENTRAL INDEX KEY: 0001869745 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40601 FILM NUMBER: 221029491 MAIL ADDRESS: STREET 1: 3250 OLCOTT STREET CITY: SANTA CLARA STATE: CA ZIP: 95054 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Couchbase, Inc. CENTRAL INDEX KEY: 0001845022 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 263576987 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 3250 OLCOTT STREET CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 6504177500 MAIL ADDRESS: STREET 1: 3250 OLCOTT STREET CITY: SANTA CLARA STATE: CA ZIP: 95054 4 1 wf-form4_165585178999871.xml FORM 4 X0306 4 2022-06-16 0 0001845022 Couchbase, Inc. BASE 0001869745 Henry Gregory N C/O COUCHBASE, INC. 3250 OLCOTT STREET SANTA CLARA CA 95054 0 1 0 0 SVP & Chief Financial Officer Common Stock 2022-06-16 4 F 0 3619 14.6725 D 300505 I The Henry Family Trust Common Stock 1000 D Stock Option 4.675 2026-11-29 Common Stock 85560.0 85560 D Stock Option 4.675 2026-11-29 Common Stock 207658.0 207658 I The Henry Family Trust Stock Option 7.45 2028-04-02 Common Stock 7583.0 7583 D Stock Option 7.45 2028-04-02 Common Stock 18416.0 18416 I The Henry Family Trust Stock Option 7.475 2029-06-13 Common Stock 15466.0 15466 D Stock Option 7.475 2029-06-13 Common Stock 24534.0 24534 I The Henry Family Trust Stock Option 7.75 2030-06-23 Common Stock 10833.0 10833 D Stock Option 7.75 2030-06-23 Common Stock 9166.0 9166 I The Henry Family Trust Stock Option 21.4 2031-03-09 Common Stock 10058.0 10058 D Stock Option 21.4 2031-03-09 Common Stock 69941.0 69941 I The Henry Family Trust The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units ("RSUs"). The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. Includes RSUs or performance-based restricted stock units ("PSUs"), each of which represents a contingent right to receive one share of the Issuer's Common Stock, subject to the applicable vesting schedule and the conditions of each RSU or PSU, respectively. On March 25, 2022, the Reporting Person transferred 170,000 PSUs to the Henry Family Trust, of which the Reporting Person serves as trustee. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust. On March 25, 2022, the Reporting Person transferred 134,124 RSUs to The Henry Family Trust. Includes 1,000 shares acquired under the 2021 Employee Stock Purchase Plan on March 21, 2022. One fourth (1/4th) of the shares subject to the option vested on November 28, 2017 and one forty-eighth (1/48th) of the shares vest monthly thereafter, subject to the Reporting Person's continued service through each such date. On March 14, 2022, the Reporting Person transferred a portion of the 293,218 shares subject to an option to the Henry Family Trust. One fourth (1/4th) of the shares subject to the option vested on February 1, 2019 and one forty-eighth (1/48th) of the shares vest monthly thereafter, subject to the Reporting Person's continued service through each such date. On March 14, 2022, the Reporting Person transferred a portion of the 25,999 shares subject to an option to the Henry Family Trust. One fourth (1/4th) of the shares subject to the option vested on February 1, 2020 and one forty-eighth (1/48th) of the shares vest monthly thereafter, subject to the Reporting Person's continued service through each such date. On March 14, 2022, the Reporting Person transferred a portion of the 40,000 shares subject to an option to the Henry Family Trust. One fourth (1/4th) of the shares subject to the option vested on February 1, 2021 and one forty-eighth (1/48th) of the shares vest monthly thereafter, subject to the Reporting Person's continued service through each such date. On March 14, 2022, the Reporting Person transferred a portion of the 19,999 shares subject to an option to the Henry Family Trust. One fourth (1/4th) of the shares subject to the option vested on February 1, 2022 and one forty-eighth (1/48th) of the shares vest monthly thereafter, subject to the Reporting Person's continued service through each such date. On March 14, 2022, the Reporting Person transferred a portion of the 79,999 shares subject to an option to the Henry Family Trust. /s/ Margaret Chow, by Power of Attorney for Gregory N. Henry 2022-06-21