0001209191-21-056504.txt : 20210916 0001209191-21-056504.hdr.sgml : 20210916 20210916201611 ACCESSION NUMBER: 0001209191-21-056504 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210914 FILED AS OF DATE: 20210916 DATE AS OF CHANGE: 20210916 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: 211259042 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 2021-09-14 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 2021-09-14 4 S 0 100000 15.9301 D 1203661 D Common Stock 2021-09-14 4 S 0 200000 15.9301 D 1003661 D Common Stock 2021-09-15 4 M 0 10625 A 1014286 D Common Stock 2021-09-15 4 M 0 23907 A 1038193 D Common Stock 2021-09-15 4 M 0 46555 A 1084748 D Common Stock 2021-09-15 4 M 0 5461 A 1090209 D Common Stock 2021-09-15 4 F 0 40660 15.93 D 1049549 D Restricted Stock Unit 2021-09-15 4 M 0 10625 0.00 D Common Stock 10625 21250 D Restricted Stock Unit 2021-09-15 4 M 0 23907 0.00 D Common Stock 23907 119536 D Restricted Stock Unit 2021-09-15 4 M 0 46555 0.00 D Common Stock 46555 232775 D Restricted Stock Unit 2021-09-15 4 M 0 5461 0.00 D Common Stock 5461 49149 D Represents the weighted average sales price per share. The shares sold at prices ranging from $15.93 to $15.935 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. 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 will vest 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 will vest 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 will vest 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. The RSUs will vest 1/12th of the total number of shares on March 15, 2021, 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 2021-09-16