Statement of Changes in Beneficial Ownership (4)
May 10 2021 - 7:01PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
ELLISON LAWRENCE JOSEPH |
2. Issuer Name and Ticker or Trading Symbol
ORACLE CORP
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ORCL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) __X__ Other (specify below) Executive Chairman
/
Chief Technology Officer |
(Last)
(First)
(Middle)
C/O DELPHI ASSET MGMT CORPORATION, 5525 KIETZKE LANE, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/6/2021 |
(Street)
RENO, NV 89511
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/6/2021 | | M | | 1400000 | A | $32.43 | 1140132353 | D | |
Common Stock | 5/6/2021 | | S(1) | | 844579 | D | $79.114 | 1139287774 | D | |
Common Stock | 5/6/2021 | | S(2) | | 555421 | D | $79.7443 | 1138732353 | D | |
Common Stock | 5/7/2021 | | M | | 1400000 | A | $32.43 | 1140132353 | D | |
Common Stock | 5/7/2021 | | S(3) | | 400131 | D | $79.3168 | 1139732222 | D | |
Common Stock | 5/7/2021 | | S(4) | | 999869 | D | $80.1595 | 1138732353 | D | |
Common Stock | 5/10/2021 | | M | | 1400000 | A | $32.43 | 1140132353 | D | |
Common Stock | 5/10/2021 | | S(5) | | 318711 | D | $79.4116 | 1139813642 | D | |
Common Stock | 5/10/2021 | | S(6) | | 1081289 | D | $80.2133 | 1138732353 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | $32.43 | 5/6/2021 | | M | | | 1400000 | (7) | 6/29/2021 | Common Stock | 1400000 | $0 | 5600000 | D | |
Stock Option | $32.43 | 5/7/2021 | | M | | | 1400000 | (7) | 6/29/2021 | Common Stock | 1400000 | $0 | 4200000 | D | |
Stock Option | $32.43 | 5/10/2021 | | M | | | 1400000 | (7) | 6/29/2021 | Common Stock | 1400000 | $0 | 2800000 | D | |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $78.57 to $79.56. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(2) | This transaction was executed in multiple trades at prices ranging from $79.57 to $79.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(3) | This transaction was executed in multiple trades at prices ranging from $78.62 to $79.61. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
(4) | This transaction was executed in multiple trades at prices ranging from $79.62 to $80.54. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
(5) | This transaction was executed in multiple trades at prices ranging from $78.77 to $79.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(6) | This transaction was executed in multiple trades at prices ranging from $79.77 to $80.72. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. |
(7) | 25% of the shares subject to the option vested annually on each anniversary of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ELLISON LAWRENCE JOSEPH C/O DELPHI ASSET MGMT CORPORATION 5525 KIETZKE LANE, SUITE 200 RENO, NV 89511 | X | X | Executive Chairman | Chief Technology Officer |
Signatures
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/s/ Rebecca Isakson by Rebecca Isakson, Attorney in fact for Lawrence J. Ellison (POA filed 12/27/18) | | 5/10/2021 |
**Signature of Reporting Person | Date |
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