Tintri, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 113 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-06-01: Reporting owner SCHAEPE CHRISTOPHER J; Form 4; Security Series E-1 Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-01: Reporting owner SCHAEPE CHRISTOPHER J; Form 4; Security Series F Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-06-01: Reporting owner SCHAEPE CHRISTOPHER J; Form 4; Security Series F-2 Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-01: Reporting owner KLEIN KENNETH; Form 4; Security Series F Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-06-01 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series E-1 Preferred Stock Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series F Preferred Stock Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −113,533 0 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series F-2 Preferred Stock Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +113,533 113,533 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | KLEIN KENNETH Director, Officer (Chairman & CEO) | 4 | Series F Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,812 0 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | KLEIN KENNETH Director, Officer (Chairman & CEO) | 4 | Series F Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,812 6,812 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | JONES HARVEY C Director | 4 | Series F Preferred Stock Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,353 0 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | JONES HARVEY C Director | 4 | Series F Preferred Stock Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,353 11,353 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | HALIFAX IAN R Officer (Chief Financial Officer) | 4 | Series F Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,541 0 owned after | $0.00 | 2017-07-10 | |
| 2017-06-01 | HALIFAX IAN R Officer (Chief Financial Officer) | 4 | Series F Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,541 4,541 owned after | $0.00 | 2017-07-10 | |
| 2017-04-10 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −208,331 0 owned after | $0.00 | 2017-07-10 | |
| 2017-04-10 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +208,331 208,331 owned after | $0.00 | 2017-07-10 | |
| 2017-04-10 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series E-1 Preferred Stock Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −83,333 0 owned after | $0.00 | 2017-07-10 | |
| 2017-04-10 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 4 | Series E-1 Preferred Stock Derivative · Indirect · See footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +83,333 83,333 owned after | $0.00 | 2017-07-10 |