0001209191-20-058771.txt : 20201117 0001209191-20-058771.hdr.sgml : 20201117 20201117170457 ACCESSION NUMBER: 0001209191-20-058771 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201113 FILED AS OF DATE: 20201117 DATE AS OF CHANGE: 20201117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kerrest Jacques Frederic CENTRAL INDEX KEY: 0001700842 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38044 FILM NUMBER: 201321924 MAIL ADDRESS: STREET 1: C/O OKTA, INC. STREET 2: 301 BRANNAN STREET 1ST FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94107 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: 100 FIRST STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 888-722-7871 MAIL ADDRESS: STREET 1: 100 FIRST STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-11-13 0 0001660134 Okta, Inc. OKTA 0001700842 Kerrest Jacques Frederic C/O OKTA, INC. 100 FIRST ST, SUITE 600 SAN FRANCISCO CA 94105 1 1 0 0 See Remarks Class A Common Stock 10480 D Employee Stock Option (Right to Buy) 3.11 2020-11-13 4 M 0 7616 0.00 D 2024-08-26 Class B Common Stock 7616 42812 D Class B Common Stock 2020-11-13 4 M 0 7616 0.00 A Class A Common Stock 7616 7616 D Employee Stock Option (Right to Buy) 7.17 2020-11-13 4 M 0 13947 0.00 D 2025-08-27 Class B Common Stock 13947 236053 D Class B Common Stock 2020-11-13 4 M 0 13947 0.00 A Class A Common Stock 13947 21563 D Employee Stock Option (Right to Buy) 8.97 2020-11-13 4 M 0 9475 0.00 D 2026-07-29 Class B Common Stock 9475 990525 D Class B Common Stock 2020-11-13 4 M 0 9475 0.00 A Class A Common Stock 9475 31038 D Class B Common Stock 2020-11-13 5 G 0 E 31038 0.00 D Class A Common Stock 31038 0 D Class B Common Stock 2020-11-13 5 G 0 E 31038 0.00 A Class A Common Stock 31038 1380203 I By Trust Class B Common Stock Class A Common Stock 267702 267702 I By Trust Employee Stock Option (Right to Buy) 1.40 2023-08-29 Class B Common Stock 3572 3572 D Employee Stock Option (Right to Buy) 39.21 2028-03-21 Class A Common Stock 114000 114000 D Employee Stock Option (Right to Buy) 82.16 2029-03-24 Class A Common Stock 71547 71547 D Employee Stock Option (Right to Buy) 142.47 2030-04-14 Class A Common Stock 62511 62511 D Restricted Stock Units Class A Common Stock 18525 18525 D Restricted Stock Units Class A Common Stock 20579 20579 D Restricted Stock Units Class A Common Stock 1150 1150 D Restricted Stock Units Class A Common Stock 29595 29595 D The shares subject to the option are fully vested and exercisable by the Reporting Person. 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. 20% of the shares subject to the option vested on July 29, 2017, 20% of the shares subject to the option vested 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 vested 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 through each vesting date. 25% of the shares subject to the option vested on February 1, 2020 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 through each vesting date. 25% of the shares subject to the option shall vest on February 1, 2021, 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 the Issuer's Class A Common Stock. 25% of the shares underlying the RSU vested 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. 25% of the shares underlying the RSU vested on March 15, 2020, 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. 17% of the shares underlying the RSU vested on June 15, 2020, 33% of the shares underlying the RSU vested on September 15, 2020, 39% of the shares underlying the RSU shall vest on December 15, 2020, and the remaining 11% of the shares underlying the RSU shall vest on March 15, 2021, subject to the Reporting Person's continuous employment with the Issuer on each such date. 25% of the shares underlying the RSU shall vest on March 15, 2021, 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. Executive Vice Chairperson of the Board and Chief Operating Officer /s/ Larissa Schwartz, attorney-in-fact of the Reporting Person 2020-11-17