Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-19-023387
Date:2019-12-15
Issuer: CLOUDERA, INC. (CLDR)
Original Submission Date:

Reporting Person:

FRANKOLA JIM
C/O CLOUDERA, INC.
395 PAGE MILL ROAD PALO ALTO, CA 94306

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-12-15 M 7,312 a $0.00 1,241,145 direct
COMMON STOCK 2019-12-15 M 11,250 a $0.00 1,252,395 direct
COMMON STOCK 2019-05-15 M 10,625 a $0.00 1,263,020 direct
COMMON STOCK 2019-12-15 M 23,907 a $0.00 1,286,927 direct
COMMON STOCK 2019-12-15 M 127,505 a $0.00 1,414,432 direct
COMMON STOCK 2019-12-15 M 63,752 a $0.00 1,478,184 direct
COMMON STOCK 2019-05-16 F 121,152 d $11.04 1,357,032 direct
COMMON STOCK 2019-09-23 G 200 d $0.00 1,356,832 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS (RSU) 0.0 2019-12-15 deemed execution date M 7,312 (d) common stock 7,312 $0.00 7,313 direct
RESTRICTED STOCK UNITS (RSU) 0.0 2019-12-15 deemed execution date M 11,250 (d) common stock 11,250 $0.00 56,250 direct
RESTRICTED STOCK UNITS (RSU) 0.0 2019-12-15 deemed execution date M 10,625 (d) common stock 10,625 $0.00 95,625 direct
RESTRICTED STOCK UNITS (RSU) 0.0 2019-12-15 deemed execution date M 23,907 (d) common stock 23,907 $0.00 286,886 direct
RESTRICTED STOCK UNITS (RSU) 0.0 2019-12-15 deemed execution date M 127,505 (d) common stock 127,505 $0.00 0 direct
RESTRICTED STOCK UNITS (RSU) 0.0 2019-12-15 deemed execution date M 63,752 (d) common stock 63,752 $0.00 0 direct
Footnotes
IDfootnote
f1 vesting and release of rsus granted to the reporting person on march 17, 2016.
f2 each rsu represents a contingent right to receive 1 share of the issuer's common stock upon settlement for no consideration.
f3 vesting and release of rsus granted to the reporting person on march 8, 2017.
f4 vesting and release of rsus granted to the reporting person on march 23, 2018.
f5 vesting and release of rsus granted to the reporting person on february 1, 2019.
f6 vesting and release of rsus granted to the reporting person on february 1, 2019.
f7 vesting and release of rsus granted to the reporting person on july 31, 2019.
f8 exempt transaction pursuant to section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with rule 16b-3. all of the shares reported as disposed of on this form 4 were relinquished by the reporting person and cancelled by the issuer in exchange for the issuer's agreement to pay federal and state tax withholding obligations of the reporting person resulting from the settlement of vested rsus. the reporting person did not sell or otherwise dispose of any of the shares reported on this form 4 for any reason other than to cover required taxes.
f9 the rsus vested as to 1/16th of the total number of shares on june 15, 2016 and thereafter vested or will continue to vest as to 1/16th of the total number of rsus in equal quarterly installments. shares of the issuer's common stock will be delivered to the reporting person following vesting.
f10 the rsus vested as to 1/16th of the total number of shares on june 15, 2017 and thereafter vested or will continue to vest as to 1/16th of the total number of rsus in equal quarterly installments. shares of the issuer's common stock will be delivered to the reporting person following vesting.
f11 the rsus vested as to 1/16th of the total number of shares on june 15, 2018 and thereafter will vest as to 1/16th of the total number of rsus in equal quarterly installments. shares of the issuer's common stock will be delivered to the reporting person following vesting.
f12 the rsus vested as to 1/16th of the total number of shares on march 15, 2019 and thereafter will vest as to 1/16th of the total number of rsus in equal quarterly installments, until such time as the rsus are 100% vested, subject to the continuing employment of the reporting person on each vesting date. shares of the issuer's common stock will be delivered to the reporting person following vesting.
f13 the rsus became fully vested on december 15, 2020, subject to reporting person's continued service through each vesting date.
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