0001628280-19-001086.txt : 20190207 0001628280-19-001086.hdr.sgml : 20190207 20190207171811 ACCESSION NUMBER: 0001628280-19-001086 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20190207 DATE AS OF CHANGE: 20190207 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-89145 FILM NUMBER: 19576058 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Colgrove John CENTRAL INDEX KEY: 0001651902 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O PURE STORAGE, INC. STREET 2: 650 CASTRO STREET, SUITE 400 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 SC 13G/A 1 colgrove13gafeb2019.htm SC 13G/A Document

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13GA
Under the Securities Exchange Act of 1934
(Amendment No. 3)
 
 
 
Pure Storage, Inc.
(Name of Issuer)
 
 
 
 
Class A Common Stock
(Title of Class of Securities)
 
 
74624M 10 2
(CUSIP Number)
 
 
December 31, 2018
(Date of Event which Requires Filing of this Statement)
 
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
¨ Rule 13d-1(b)
¨ Rule 13d-1(c)
x Rule 13d-1(d)
 
*
 
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.


The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 




 
 
 
CUSIP No. 74624M 10 2
 
 
 
 
 
 
 
 
 
 
  1.
 
Names of Reporting Persons.
 
John Colgrove
  2.
 
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a)  ¨     (b)  x
 
  3.
 
SEC Use Only
 
  4.
 
Citizenship or Place of Organization: United States of America
 
Number of Shares Beneficially Owned by Each Reporting Person With:
 
5.
 
Sole Voting Power 8,112,929 (See item 4(a)(i) below)
 
 
6.
 
Shared Voting Power 6,053,926 (See item 4(a)(ii) below)
 
 
7.
 
Sole Dispositive Power 8,112,929 (See item 4(a)(i) below)
 
 
8.
 
Shared Dispositive Power 6,053,926 (See item 4(a)(ii) below)
 
  9.
 
Aggregate Amount Beneficially Owned by Each Reporting Person 14,166,855 (See item 4(a) below)
 
10.
 
Check if the Aggregate Amount in Row (9) Excludes Certain Shares
 
11.
 
Percent of Class Represented by Amount in Row (9) 5.9% (See item 4(b) below)
 
12.
 
Type of Reporting Person
 
IN




Item 1.
 
 
 
(a)
Name of Issuer: Pure Storage, Inc.
 
 
(b)
Address of Issuer’s Principal Executive Offices: 650 Castro Street, Suite 400, Mountain View, CA 94040
 
Item 2.
 
 
 
(a)
Name of Person Filing: John Colgrove
 
 
(b)
Address of Principal Business Office or, if none, Residence: c/o Pure Storage, Inc., 650 Castro Street, Suite 400, Mountain View, CA 94041
 
 
(c)
Citizenship: United States
 
 
(d)
Title of Class of Securities: Class A Common Stock
 
 
(e)
CUSIP Number: 74624M 10 2
 

Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 


 
 
 
 
 
 
 
 
(a)
 
¨
 
Broker or dealer registered under Section 15 of the Act;
 
 
 
(b)
 
¨
 
Bank as defined in Section 3(a)(6) of the Act;
 
 
 
(c)
 
¨
 
Insurance company as defined in Section 3(a)(19) of the Act;
 
 
 
(d)
 
¨
 
Investment company registered under Section 8 of the Investment Company Act of 1940;
 
 
 
(e)
 
¨
 
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
 
 
 
(f)
 
¨
 
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
 
 
 
(g)
 
¨
 
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
 
 
 
(h)
 
¨
 
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
 
 
(i)
 
¨
 
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
 
 
 
(j)
 
¨
 
A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
 
 
 
(k)
 
¨
 
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

Item 4.
Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1.
 


 
(a)

Amount beneficially owned: 14,166,855 shares of Class A Common Stock, consisting of (i) (A) 7,536,316 shares of Class A Common Stock of the Issuer held of record by Mr. Colgrove, (B) 291,805 unvested shares of Class A Common Stock subject to Issuer’s right of repurchase, held of record by Mr. Colgrove, (C) 200,000 shares of Class A Common Stock that are vested and exercisable pursuant to stock options as of December 31, 2018, (D) 75,000 shares of Class A Common Stock that will vest and become exercisable pursuant to stock options between January 1, 2019 and March 1, 2019, and (E) 9,808 shares of Class A Common Stock that vested on January 5, 2019 pursuant to the vesting of restricted stock units, and (ii) (A) 1,553,926 shares of Class A Common Stock held of record by the Colgrove Family Living Trust, (B) 2,250,000 shares of Class A Common Stock held of record by the Eric Edward Colgrove Irrevocable Trust DTD Feb 8, 2011, Jeff Rothschild TTEE, and (C) 2,250,000 shares of Class A Common Stock held of record by Richard Winston Colgrove Irrevocable Trust DTD Feb 8, 2011, Jeff Rothschild TTEE.


 
(b)




Percent of class: 5.9%

The foregoing percentage is based on 241,616,737 shares of common stock outstanding as of November 28, 2018, as disclosed in the Issuer’s Form 10-Q filed on December 6, 2018.

 
(c)
Number of shares as to which the person has:
 
 
(i)
Sole power to vote or to direct the vote: 8,112,929 shares (See items 4(a)(i) above).
 
 
(ii)
Shared power to vote or to direct the vote: 6,053,926 shares (See items 4(a)(ii) above).
 
 
(iii)
Sole power to dispose or to direct the disposition of: 8,112,929 shares (See items 4(a)(i) above).
 
 
(iv)
Shared power to dispose or to direct the disposition of: 6,053,926 shares (See items 4(b)(ii) above).
 
Item 5.
Ownership of Five Percent or Less of a Class
 
 
Ownership of 5 Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ¨.
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person
 
 
Not applicable
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
 
 
Not applicable
 


Item 8.
Identification and Classification of Members of the Group
 
 
Not applicable
 
Item 9.
Notice of Dissolution of Group
 
 
Not applicable
 
Item 10.
Certifications
 
 
Not applicable




SIGNATURE
After reasonable inquiry and to the best of each of their respective knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

 
 
 
 
Date: February 7, 2019
 
/s/ John Colgrove
 
     John Colgrove