0001209191-20-050947.txt : 20200917
0001209191-20-050947.hdr.sgml : 20200917
20200917165731
ACCESSION NUMBER: 0001209191-20-050947
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200915
FILED AS OF DATE: 20200917
DATE AS OF CHANGE: 20200917
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FRANKOLA JIM
CENTRAL INDEX KEY: 0001183231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38069
FILM NUMBER: 201181716
MAIL ADDRESS:
STREET 1: C/O CLOUDERA INC
STREET 2: 1001 PAGE MILL ROAD, BLDG. 3
CITY: PALO ALTO
STATE: CA
ZIP: 94089
FORMER NAME:
FORMER CONFORMED NAME: FRANKOLA JAMES
DATE OF NAME CHANGE: 20020827
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cloudera, Inc.
CENTRAL INDEX KEY: 0001535379
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 262922329
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0131
BUSINESS ADDRESS:
STREET 1: 395 PAGE MILL ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94306
BUSINESS PHONE: 650 644 3950
MAIL ADDRESS:
STREET 1: 395 PAGE MILL ROAD
CITY: PALO ALTO
STATE: CA
ZIP: 94306
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-09-15
0
0001535379
Cloudera, Inc.
CLDR
0001183231
FRANKOLA JIM
C/O CLOUDERA INC.
5470 GREAT AMERICA PKWY
SANTA CLARA
CA
95054
0
1
0
0
Chief Financial Officer
Common Stock
2020-09-15
4
M
0
11250
A
1282337
D
Common Stock
2020-09-15
4
M
0
10625
A
1292962
D
Common Stock
2020-09-15
4
M
0
23907
A
1316869
D
Common Stock
2020-09-15
4
M
0
46555
A
1363424
D
Common Stock
2020-09-15
4
F
0
45782
11.08
D
1317642
D
Restricted Stock Units (RSU)
2020-09-15
4
M
0
11250
0.00
D
Common Stock
11250
22500
D
Restricted Stock Units (RSU)
2020-09-15
4
M
0
10625
0.00
D
Common Stock
10625
63750
D
Restricted Stock Units (RSU)
2020-09-15
4
M
0
23907
0.00
D
Common Stock
23907
215165
D
Restricted Stock Units (RSU)
2020-09-15
4
M
0
46555
0.00
D
Common Stock
46555
418995
D
Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the settlement of vested RSUs. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.
The RSUs vested as to 1/16th of the total number of shares on June 15, 2017 and thereafter vest as to 1/16th of the total number of RSUs in equal quarterly
installments, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
The RSUs vested as to 1/16th of the total number of shares on June 15, 2018 and thereafter vest as to 1/16th of the total number of RSUs in equal quarterly installments, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
The RSUs vested as to 1/16th of the total number of shares on March 15, 2019 and thereafter vest as to 1/16th of the total number of RSUs in equal quarterly installments, until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
The RSUs vest as to 2/12th of the total number of shares on June 15, 2020, and thereafter vest as to 1/12th of the total number of shares in equal quarterly installments until 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
/s/ Jim Frankola by Jay Wedge, Attorney-in-Fact
2020-09-16