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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (1) | 07/01/2018 | M | 9,814 | (2) | (5) | Common Stock | 9,814 | $ 0 | 9,427 | D | ||||
Restricted Stock Unit | (1) | 07/01/2018 | M | 11,938 | (3) | (5) | Common Stock | 11,938 | $ 0 | 23,463 | D | ||||
Restricted Stock Unit | (1) | 07/01/2018 | M | 387 | (4) | (5) | Common Stock | 387 | $ 0 | 25,613 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH BRAD D C/O INTUIT INC. 2700 COAST AVENUE MOUNTAIN VIEW, CA 94043 |
X | Chairman, CEO & President |
/s/ Kerry McLean, by power-of-attorney | 07/20/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 1-for-1 |
(2) | For this award granted 7/23/2015, one third of the restricted stock units vested on each of 7/1/2016, 7/1/2017, and 7/1/2018 with each tranche of vested restricted stock units subject to deferred release for one year after vesting date. This reported number represents the sum of unreleased RSUs vested 7/1/2017 and 440 RSUs vested 7/1/2018 for which the issuer accelerated release to accommodate forfeiture of shares related to tax withholding obligations. |
(3) | For this award granted 7/21/2016, one third of the restricted stock units vest on each of 7/1/2017, 7/1/2018, and 7/1/2019 with each tranche of vested restricted stock units subject to deferred release for one year after vesting date. This reported number represents the sum of unreleased RSUs vested 7/1/2017 and 535 RSUs vested 7/1/2018 for which the issuer accelerated release to accommodate forfeiture of shares related to tax withholding obligations. |
(4) | For this award granted 7/20/2017, one third of the restricted stock units vest on each of 7/1/2018, 7/1/2019, and 7/1/2020 with each tranche of vested restricted stock units subject to deferred release for one year after vesting date. The issuer has accelerated the issuance of this portion of the vested and unreleased RSUs to accommodate forfeiture of shares related to tax withholding obligations. |
(5) | Restricted stock units do not expire; they either vest or are canceled prior to vesting date. |
Remarks: This amended Form 4 replaces the Form 4 filed on 7/3/2018 in its entirety, due to corrections to shares withheld by the issuer to satisfy the tax withholding obligations of the reporting person. |