0001209191-21-027325.txt : 20210419 0001209191-21-027325.hdr.sgml : 20210419 20210419170939 ACCESSION NUMBER: 0001209191-21-027325 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210415 FILED AS OF DATE: 20210419 DATE AS OF CHANGE: 20210419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRAMER CHRISTOPHER K CENTRAL INDEX KEY: 0001788037 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38044 FILM NUMBER: 21835364 MAIL ADDRESS: STREET 1: C/O OKTA, INC. STREET 2: 100 FIRST STREET, SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 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 2021-04-15 0 0001660134 Okta, Inc. OKTA 0001788037 KRAMER CHRISTOPHER K C/O OKTA 100 FIRST ST, SUITE 600 SAN FRANCISCO CA 94105 0 1 0 0 Chief Accounting Officer Class A Common Stock 2021-04-15 4 C 0 3333 0.00 A 11806 D Class A Common Stock 2021-04-15 4 S 0 783 263.4816 D 11023 D Class A Common Stock 2021-04-15 4 S 0 120 264.1417 D 10903 D Class A Common Stock 2021-04-15 4 S 0 300 265.25 D 10603 D Class A Common Stock 2021-04-15 4 S 0 1046 266.7709 D 9557 D Class A Common Stock 2021-04-15 4 S 0 834 267.5603 D 8723 D Class A Common Stock 2021-04-15 4 S 0 250 268.752 D 8473 D Employee Stock Option (Right to Buy) 9.74 2021-04-15 4 M 0 3333 0.00 D 2027-01-22 Class B Common Stock 3333 13334 D Class B Common Stock 2021-04-15 4 M 0 3333 0.00 A Class A Common Stock 3333 3333 D Class B Common Stock 2021-04-15 4 C 0 3333 0.00 D Class A Common Stock 3333 0 D Restricted Stock Units Class A Common Stock 768 768 D Restricted Stock Units Class A Common Stock 5609 5609 D Restricted Stock Units Class A Common Stock 3149 3149 D Restricted Stock Units Class A Common Stock 2075 2075 D Restricted Stock Units Class A Common Stock 880 880 D Restricted Stock Units Class A Common Stock 2694 2694 D Employee Stock Option (Right to Buy) 103.69 2029-09-18 Class A Common Stock 3187 3187 D Employee Stock Option (Right to Buy) 142.47 2030-04-14 Class A Common Stock 7590 7590 D 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 $262.825 to $263.64 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 $263.98 to $264.95 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 $264.99 to $265.38 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 $266.20 to $267.089 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 $267.39 to $268.05 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 $268.48 to $269.24 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 shares subject to the option are fully vested and exercisable by the Reporting Person. 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. Each Restricted Stock Unit ("RSU") represents the right to receive one share of Class A Common Stock. 25% of the shares underlying the RSU vested on June 15, 2018, 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 June 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 June 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. 6.25% of the shares underlying the RSU vested on March 15, 2021, and the remaining shares underlying the RSU shall vest in 15 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 September 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. 25% of the shares underlying the RSU vested 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. 25% of the shares subject to the option vested on October 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 vested 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. Larissa Schwartz, attorney-in-fact of the Reporting Person 2021-04-19