SEC Filing | Nutanix, Inc

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Parks Jeffrey T

(Last)

(First)

(Middle)

C/O RIVERWOOD CAPITAL PARTNERS,

70 WILLOW ROAD, SUITE 100

(Street)

MENLO PARK

94025

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Nutanix, Inc. [ NTNX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
11/15/2017

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	11/15/2017		C		59,467	A	⁽¹⁾	59,467	I	See footnote⁽²⁾
Class A Common Stock	11/15/2017		C		20,502	A	⁽¹⁾	20,502	I	See footnote⁽³⁾
Class A Common Stock	11/15/2017		C		24,006	A	⁽¹⁾	24,006	I	See footnote⁽⁴⁾
Class A Common Stock	11/15/2017		S		59,467	D	$29.2⁽⁵⁾	0	I	See footnote⁽²⁾
Class A Common Stock	11/15/2017		S		20,502	D	$29.2⁽⁵⁾	0	I	See footnote⁽³⁾
Class A Common Stock	11/15/2017		S		24,006	D	$29.2⁽⁵⁾	0	I	See footnote⁽⁴⁾
Class A Common Stock	11/16/2017		C		134,887	A	⁽¹⁾	134,887	I	See footnote⁽²⁾
Class A Common Stock	11/16/2017		C		46,504	A	⁽¹⁾	46,504	I	See footnote⁽³⁾
Class A Common Stock	11/16/2017		C		54,453	A	⁽¹⁾	54,453	I	See footnote⁽⁴⁾
Class A Common Stock	11/16/2017		S		134,887	D	$29.21⁽⁶⁾	0	I	See footnote⁽²⁾
Class A Common Stock	11/16/2017		S		46,504	D	$29.21⁽⁶⁾	0	I	See footnote⁽³⁾
Class A Common Stock	11/16/2017		S		54,453	D	$29.21⁽⁶⁾	0	I	See footnote⁽⁴⁾
Class A Common Stock	11/17/2017		C		261,158	A	⁽¹⁾	261,158	I	See footnote⁽²⁾
Class A Common Stock	11/17/2017		C		90,038	A	⁽¹⁾	90,038	I	See footnote⁽³⁾
Class A Common Stock	11/17/2017		C		105,427	A	⁽¹⁾	105,427	I	See footnote⁽⁴⁾
Class A Common Stock	11/17/2017		S		261,158	D	$29.51⁽⁷⁾	0	I	See footnote⁽²⁾
Class A Common Stock	11/17/2017		S		90,038	D	$29.51⁽⁷⁾	0	I	See footnote⁽³⁾
Class A Common Stock	11/17/2017		S		105,427	D	$29.51⁽⁷⁾	0	I	See footnote⁽⁴⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Class B Common Stock	⁽⁸⁾	11/15/2017		C			59,467	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	59,467	$0.00	2,042,031	I	See footnote⁽²⁾
Class B Common Stock	⁽⁸⁾	11/15/2017		C			20,502	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	20,502	$0.00	704,023	I	See footnote⁽³⁾
Class B Common Stock	⁽⁸⁾	11/15/2017		C			24,006	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	24,006	$0.00	824,346	I	See footnote⁽⁴⁾
Class B Common Stock	⁽⁸⁾	11/16/2017		C			134,887	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	134,887	$0.00	1,907,144	I	See footnote⁽²⁾
Class B Common Stock	⁽⁸⁾	11/16/2017		C			46,504	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	46,504	$0.00	657,519	I	See footnote⁽³⁾
Class B Common Stock	⁽⁸⁾	11/16/2017		C			54,453	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	54,453	$0.00	769,893	I	See footnote⁽⁴⁾
Class B Common Stock	⁽⁸⁾	11/17/2017		C			261,158	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	261,158	$0.00	1,645,986	I	See footnote⁽²⁾
Class B Common Stock	⁽⁸⁾	11/17/2017		C			90,038	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	90,038	$0.00	567,481	I	See footnote⁽³⁾
Class B Common Stock	⁽⁸⁾	11/17/2017		C			105,427	⁽⁸⁾	⁽⁸⁾	Class A Common Stock	105,427	$0.00	664,466	I	See footnote⁽⁴⁾

Explanation of Responses:

1. Represents shares of Class B common stock of the Issuer converted into shares of Class A common stock of the Issuer on a one-for-one basis in accordance with the terms of the Class B common stock.

2. The shares are held of record by Riverwood Capital Partners L.P. ("RCP LP"). Riverwood Capital L.P. ("RC LP"), the general partner of RCP LP, and Riverwood Capital GP Ltd. ("RCGP Ltd."), the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP LP. All investment decisions with respect to the shares held by RCP LP are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

3. The shares are held of record by Riverwood Capital Partners (Parallel-A) L.P. ("RCP Parallel-A"). RC LP, the general partner of RCP Parallel-A, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-A. All investment decisions with respect to the shares held by RCP Parallel-A are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

4. The shares are held of record by Riverwood Capital Partners (Parallel-B) L.P. ("RCP Parallel-B"). RC LP, the general partner of RCP Parallel-B, and RCGP Ltd., the general partner of RC LP, share voting and dispositive power with respect to the shares held directly by RCP Parallel-B. All investment decisions with respect to the shares held by RCP Parallel-B are made by a majority vote of a six-member investment committee, for which the reporting person serves as a member. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

5. These sales were executed in multiple trades at prices ranging from $29.16 to $29.36 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.

6. These sales were executed in multiple trades at prices ranging from $29.16 to $29.43 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.

7. These sales were executed in multiple trades at prices ranging from $29.16 to $29.92 pursuant to a previously adopted Rule 10b5-1 trading plan. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these sales were effected, upon request, to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.

8. Each share of Class B common stock is convertible at any time at the option of the holder into one share of Class A common stock. In addition, each share of Class B common stock will convert automatically into one share of Class A common stock upon (i) the date specified by affirmative vote or written consent of the holders of at least 67% of the outstanding shares of Class B common stock, (ii) any transfer, whether or not for value, subject to certain limited exceptions, (iii) the death of a natural person (including shares held by his or her permitted estate planning entities holding Class B common stock), or (iv) October 5, 2033.

Remarks:

	/s/ JEFFREY T PARKS	11/17/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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