0001209191-20-042507.txt : 20200715
0001209191-20-042507.hdr.sgml : 20200715
20200715171059
ACCESSION NUMBER: 0001209191-20-042507
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200713
FILED AS OF DATE: 20200715
DATE AS OF CHANGE: 20200715
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Losch William E
CENTRAL INDEX KEY: 0001306938
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38044
FILM NUMBER: 201030119
MAIL ADDRESS:
STREET 1: DREAMWORKS ANIMATION SKG, INC.
STREET 2: 1000 FLOWER STREET
CITY: GLENDALE
STATE: CA
ZIP: 91201
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
2020-07-13
0
0001660134
Okta, Inc.
OKTA
0001306938
Losch William E
C/O OKTA, INC.
100 FIRST ST, SUITE 600
SAN FRANCISCO
CA
94105
0
1
0
0
Chief Financial Officer
Class A Common Stock
2020-07-13
4
C
0
20000
0.00
A
38859
D
Class A Common Stock
2020-07-13
4
M
0
10000
0.00
A
48859
D
Class A Common Stock
2020-07-13
4
S
0
3498
200.3783
D
45361
D
Class A Common Stock
2020-07-13
4
S
0
1144
201.3236
D
44217
D
Class A Common Stock
2020-07-13
4
S
0
1688
202.3148
D
42529
D
Class A Common Stock
2020-07-13
4
S
0
700
203.9286
D
41829
D
Class A Common Stock
2020-07-13
4
S
0
600
205.3217
D
41229
D
Class A Common Stock
2020-07-13
4
S
0
1491
206.2357
D
39738
D
Class A Common Stock
2020-07-13
4
S
0
1376
207.1238
D
38362
D
Class A Common Stock
2020-07-13
4
S
0
500
208.274
D
37862
D
Class A Common Stock
2020-07-13
4
S
0
700
209.6214
D
37162
D
Class A Common Stock
2020-07-13
4
S
0
200
211.06
D
36962
D
Class A Common Stock
2020-07-13
4
S
0
1092
212.5599
D
35870
D
Class A Common Stock
2020-07-13
4
S
0
1723
213.7305
D
34147
D
Class A Common Stock
2020-07-13
4
S
0
4345
214.927
D
29802
D
Class A Common Stock
2020-07-13
4
S
0
6188
215.7061
D
23614
D
Class A Common Stock
2020-07-13
4
S
0
900
216.4656
D
22714
D
Class A Common Stock
2020-07-13
4
S
0
645
217.7633
D
22069
D
Class A Common Stock
2020-07-13
4
S
0
500
218.958
D
21569
D
Class A Common Stock
2020-07-13
4
S
0
2010
220.081
D
19559
D
Class A Common Stock
2020-07-13
4
S
0
700
221.0643
D
18859
D
Employee Stock Option (Right to Buy)
8.97
2020-07-13
4
M
0
20000
0.00
D
2026-07-29
Class B Common Stock
20000
94736
D
Class B Common Stock
2020-07-13
4
M
0
20000
0.00
A
Class A Common Stock
20000
20000
D
Class B Common Stock
2020-07-13
4
C
0
20000
0.00
D
Class A Common Stock
20000
0
D
Employee Stock Option (Right to Buy)
39.21
2020-07-13
4
M
0
10000
0.00
D
2028-03-21
Class A Common Stock
10000
71500
D
Restricted Stock Units
Class A Common Stock
15444
15444
D
Restricted Stock Units
Class A Common Stock
14405
14405
D
Restricted Stock Units
Class A Common Stock
1847
1847
D
Employee Stock Option (Right to Buy)
1.40
2023-08-29
Class B Common Stock
27820
27820
D
Employee Stock Option (Right to Buy)
82.16
2029-03-24
Class A Common Stock
45530
45530
D
Employee Stock Option (Right to Buy)
142.47
2030-04-14
Class A Common Stock
31255
31255
D
Restricted Stock Units
Class A Common Stock
14797
14797
D
Class B Common Stock
Class A Common Stock
489886
489886
I
By Trust
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.
Includes 196 shares of Class A Common Stock acquired under a Section 423 Employee Stock Purchase Plan.
This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $199.85 to $200.84 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $200.91 to $201.88 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $202.02 to $202.78 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $203.41 to $204.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $204.68 to $205.55 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $205.68 to $206.63 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $206.71 to $207.63 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $208.08 to $208.87 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.27 to $209.94 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $211.03 to $211.09 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $212.06 to $212.97 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $213.14 to $214.11 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $214.26 to $215.25 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $215.26 to $216.24 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $216.27 to $217.25 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $217.27 to $218.20 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $218.28 to $219.19 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $219.62 to $220.58 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $220.73 to $221.26 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
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 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 shall vest 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.
The shares subject to the option are fully vested and exercisable by the Reporting Person.
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 on each such 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.
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.
/s/ Larissa Schwartz, attorney-in-fact of the Reporting Person
2020-07-15