0001225208-18-011481.txt : 20180705 0001225208-18-011481.hdr.sgml : 20180705 20180705193906 ACCESSION NUMBER: 0001225208-18-011481 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180702 FILED AS OF DATE: 20180705 DATE AS OF CHANGE: 20180705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Speiser Michael L CENTRAL INDEX KEY: 0001433644 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37570 FILM NUMBER: 18941578 MAIL ADDRESS: STREET 1: 755 PAGE MILL ROAD, SUITE A-200 CITY: PALO ALTO STATE: CA ZIP: 94304-1005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Pure Storage, Inc. CENTRAL INDEX KEY: 0001474432 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 271069557 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 650 CASTRO STREET, SUITE 400 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 BUSINESS PHONE: 800-379-7873 MAIL ADDRESS: STREET 1: 650 CASTRO STREET, SUITE 400 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 FORMER COMPANY: FORMER CONFORMED NAME: PURE Storage, Inc. DATE OF NAME CHANGE: 20100804 FORMER COMPANY: FORMER CONFORMED NAME: Os76, Inc. DATE OF NAME CHANGE: 20091014 4 1 doc4.xml X0306 4 2018-07-02 0001474432 Pure Storage, Inc. PSTG 0001433644 Speiser Michael L 755 PAGE MILL RD., SUITE A-200 PALO ALTO CA 94304-1005 1 Class A Common Stock 2018-07-02 4 C 0 600000.0000 0 A 600000.0000 I By Ltd Partnership (SHV As Nominee) Class A Common Stock 2018-07-02 4 S 0 79853.0000 23.9603 D 520147.0000 I By Ltd Partnership (SHV As Nominee) Class A Common Stock 2018-07-02 4 S 0 120147.0000 23.7150 D 400000.0000 I By Ltd Partnership (SHV As Nominee) Class A Common Stock 2018-07-03 4 S 0 200000.0000 23.8512 D 200000.0000 I By Ltd Partnership (SHV As Nominee) Class A Common Stock 2018-07-05 4 S 0 200000.0000 23.7018 D 0.0000 I By Ltd Partnership (SHV As Nominee) Class A Common Stock 2018-07-02 4 C 0 600000.0000 0 A 640982.0000 I By Trust (Trustees) Class A Common Stock 2018-07-02 4 S 0 79853.0000 23.9603 D 561129.0000 I By Trust (Trustees) Class A Common Stock 2018-07-02 4 S 0 120147.0000 23.7150 D 440982.0000 I By Trust (Trustees) Class A Common Stock 2018-07-03 4 S 0 200000.0000 23.8512 D 240982.0000 I By Trust (Trustees) Class A Common Stock 2018-07-05 4 S 0 200000.0000 23.7018 D 40982.0000 I By Trust (Trustees) Class A Common Stock 25380.0000 D Class B Common Stock 2018-07-02 4 C 0 600000.0000 D Class A Common Stock 600000.0000 1722254.0000 I By Ltd Partnership (SHV As Nominee) Class B Common Stock 2018-07-02 4 C 0 600000.0000 D Class A Common Stock 600000.0000 2338406.0000 I By Trust (Trustees) Class B Common Stock Class A Common Stock 6000.0000 6000.0000 D Class B Common Stock Class A Common Stock 377173.0000 377173.0000 I By Ltd Partnership (CHAT) Class B Common Stock Class A Common Stock 43800.0000 43800.0000 I By Profit Sharing Plan Trust Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025. Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV") as a nominee on behalf of, and for the exclusive benefit of, a trust (of which the reporting person is a trustee), which is a member of the general partner of SHV. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 23, 2018 as amended on May 23, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $23.91 to $24.02, inclusive. The reporting person undertakes to provide to Pure Storage, Inc., and any security holder of Pure Storage, Inc., 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 range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $22.91 to $23.90, inclusive. The reporting person undertakes to provide to Pure Storage, Inc., and any security holder of Pure Storage, Inc., 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 range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $23.63 to $24.09, inclusive. The reporting person undertakes to provide to Pure Storage, Inc., and any security holder of Pure Storage, Inc., 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 range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $23.35 to $24.05, inclusive. The reporting person undertakes to provide to Pure Storage, Inc., and any security holder of Pure Storage, Inc., 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 range set forth in this footnote. Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2018. The reporting person shares pecuniary interest in these shares with other individuals pursuant to a contractual relationship. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares. Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the general partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein. Shares held by the SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person. /s/ Robert Yin, by power of attorney 2018-07-05