0001209191-13-055380.txt : 20131204 0001209191-13-055380.hdr.sgml : 20131204 20131204193934 ACCESSION NUMBER: 0001209191-13-055380 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131202 FILED AS OF DATE: 20131204 DATE AS OF CHANGE: 20131204 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SPLUNK INC CENTRAL INDEX KEY: 0001353283 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 861106510 FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 250 BRANNAN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 415-848-4800 MAIL ADDRESS: STREET 1: 250 BRANNAN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEIN LEONARD R CENTRAL INDEX KEY: 0001226526 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35498 FILM NUMBER: 131258522 MAIL ADDRESS: STREET 1: SPLUNK INC. STREET 2: 250 BRANNAN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94107 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-12-02 0 0001353283 SPLUNK INC SPLK 0001226526 STEIN LEONARD R C/O SPLUNK INC. 250 BRANNAN STREET SAN FRANCISCO CA 94107 0 1 0 0 SVP, General Counsel & Sec. Common Stock 2013-12-02 4 M 0 10000 2.14 A 52669 D Common Stock 2013-12-02 4 S 0 4500 71.50 D 48169 D Common Stock 2013-12-02 4 S 0 5500 71.92 D 42669 D Common Stock 2013-12-03 4 A 0 55000 0.00 A 97669 D Employee Stock Option (right to buy) 2.14 2013-12-02 4 M 0 10000 0.00 D 2021-04-20 Common Stock 10000 208528 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 21, 2013. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.76 to $71.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.76 to $72.56, inclusive. The reported securities are represented by restricted stock units ("RSUs"). Twenty-five percent of the RSUs vest on December 10, 2014 and 1/16th of the RSUs shall vest quarterly thereafter. The option, representing a right to purchase a total of 500,000 shares, is subject to an early exercise provision pursuant to which 125,780 shares are immediately exercisable. One-fourth of the shares subject to the option vested on April 4, 2012 and one forty-eighth of the shares vest monthly thereafter. /s/ Steve Dean, by power of attorney 2013-12-04