0001209191-20-059048.txt : 20201118 0001209191-20-059048.hdr.sgml : 20201118 20201118160918 ACCESSION NUMBER: 0001209191-20-059048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201116 FILED AS OF DATE: 20201118 DATE AS OF CHANGE: 20201118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bauer Peter CENTRAL INDEX KEY: 0001676397 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37637 FILM NUMBER: 201325016 MAIL ADDRESS: STREET 1: CITYPOINT, ONE ROPEMAKER STREET CITY: MOORGATE, LONDON STATE: X0 ZIP: EC2Y 9AW ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Mimecast Ltd CENTRAL INDEX KEY: 0001644675 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 1 FINSBURY AVENUE CITY: LONDON STATE: X0 ZIP: EC2M 2PF BUSINESS PHONE: 44(0)2078478700 MAIL ADDRESS: STREET 1: 1 FINSBURY AVENUE CITY: LONDON STATE: X0 ZIP: EC2M 2PF 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-11-16 0 0001644675 Mimecast Ltd MIME 0001676397 Bauer Peter C/O MIMECAST NORTH AMERICA, INC. 191 SPRING STREET LEXINGTON MA 02421 1 1 0 0 Chief Executive Officer Ordinary Shares 2020-11-16 4 S 0 73914 43.3058 D 1500462 I By Declaration of Trust of Peter Bauer Ordinary Shares 2020-11-16 4 S 0 1086 43.9267 D 1499376 I By Declaration of Trust of Peter Bauer Ordinary Shares 2078577 I By Rock Trustees Limited Ordinary Shares 4773 I By The Bauer Irrevocable Trust - 2020 Restricted Share Units 4500 D Restricted Share Units 13500 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 15, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.85 - $43.84, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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. Includes 50,000 Ordinary Shares transferred by the Reporting Person from a personal investment account to a trust account on October 8, 2020. These shares are held by the Declaration of Trust of Peter Bauer. The Reporting Person is a beneficiary, and the sole trustee of, the Declaration of Trust of Peter Bauer. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.85 - $43.96, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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. These shares are held by Rock Trustees Limited as trustee of the Butterworth Trust (the "Butterworth Trust"), of which the Reporting Person is a beneficiary. As trustee of the Butterworth Trust, Rock Trustees Limited exercises dispositive power over the shares held therein. The Reporting Person disclaims Section 16 beneficial ownership of the shares held by the Butterworth Trust, except to the extent, if any, of his pecuniary interest therein. These shares are held by The Bauer Irrevocable Trust - 2020 for the benefit of the Reporting Person's children. The Reporting Person disclaims Section 16 beneficial ownership of the shares held by The Bauer Irrevocable Trust - 2020, except to the extent, if any, of his pecuniary interest therein. Each restricted share unit represents a contingent right to receive one share of the Issuer's ordinary shares. These restricted share units were granted on April 2, 2018. Twenty-five percent (25%) of the units vested on April 2, 2019, twenty-five percent (25%) of the units vested on April 2, 2020, and the remainder of the units vest on an annual basis over the next two (2) years, provided that the Reporting Person remains an employee of the Issuer on each such vesting date. These restricted share units were granted on April 1, 2019. Twenty-five percent (25%) of the units vested on April 1, 2020 and the remainder of the units vest on an annual basis over the next three (3) years, provided that the Reporting Person remains an employee of the Issuer on each such vesting date. Exhibit 24 Power of Attorney (incorporated by reference to Power of Attorney filed as Exhibit 24 to Form 3 filed by the Reporting Person on April 2, 2018). /s/ Robert P. Nault, Attorney-in-Fact 2020-11-18