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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) | 11/15/2017 | M(1) | 711,627 | (1) | (1) | Common Stock | 711,627 | (1) | 711,627 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FISHER RONALD D C/O GALAXY INVESTMENT HOLDINGS, INC. ONE CIRCLE STAR WAY SAN CARLOS, CA 94070 |
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/s/ Ronald D. Fisher | 11/17/2017 | |
**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) | Represents the vesting of restricted stock units ("RSUs") for shares of the common stock of Sprint Corporation, par value $0.01 per share (the "Sprint Common Stock"), granted to Mr. Fisher by Galaxy Investment Holdings, Inc. ("Galaxy"), a U.S. wholly owned subsidiary of SoftBank Group Corp. ("SoftBank"), on March 17, 2014. Each RSU represents a contingent right for Mr. Fisher to receive one share of Sprint Common Stock or, in the sole discretion of Galaxy, a cash payment in lieu of all or a portion thereof. RSUs in respect of 711,627 shares vested on November 15, 2017, of which 311,476 were settled in cash and 400,151 were settled in shares of Sprint Common Stock. Such cash was withheld to satisfy tax withholding obligations. |
(2) | The amount reported in column 4 represents shares of Sprint Common Stock deemed reacquired by Galaxy from Mr. Fisher in respect of the RSUs settled in cash. |