Statement of Changes in Beneficial Ownership (4)
June 17 2020 - 7:48PM
Edgar (US Regulatory)
FORM 4
[ ]
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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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
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Griffin Anna |
2. Issuer Name and Ticker or Trading Symbol
SMARTSHEET INC
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SMAR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Marketing Officer |
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(Last)
(First)
(Middle)
C/O SMARTSHEET INC., 10500 NE 8TH ST., SUITE 1300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/15/2020 |
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(Street)
BELLEVUE, WA 98004
(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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| Class A Common Stock | 6/15/2020 | | M | | 3091 | A | (1) | 12137 (2) | D | |
| Class A Common Stock | 6/15/2020 | | F | | 919 (3) | D | $47.10 | 11218 | D | |
| Class A Common Stock | 6/16/2020 | | S | | 4000 | D | $48 | 7218 | 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 |
| Restricted Stock Units (RSU) (Class A) | (1) | 6/15/2020 | | M | | | 3091 | (4) | 3/15/2023 | Class A Common Stock | 3091.0 | $0 | 34012 | D | |
| Explanation of Responses: |
| (1) | Each RSU represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement. |
| (2) | Includes 427 shares of Class A Common Stock acquired under the issuer's employee stock purchase plan on March 24, 2020. |
| (3) | Represents the number of shares of Class A Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person. |
| (4) | The RSUs vested as to 25% of the total shares on March 15, 2020 and then 6.25% of the total shares vest quarterly thereafter, subject to the reporting person's provision of service to the issuer on each vesting date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Griffin Anna
C/O SMARTSHEET INC.
10500 NE 8TH ST., SUITE 1300
BELLEVUE, WA 98004 |
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| Chief Marketing Officer |
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Signatures
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| /s/ Paul Porrini as attorney-in-fact for Anna Griffin | | 6/17/2020 |
| **Signature of Reporting Person | Date |
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