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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 (MSPP Purchased Award) (1) | (2) | 08/11/2017 | A | 2,017 | (3) | (3) | Common Stock | 2,017 | $ 136.6 | 2,017 | D | ||||
Restricted Stock Unit (MSPP Matching Award) (4) | (2) | 08/11/2017 | A | 2,017 | 08/11/2020(5) | (6) | Common Stock | 2,017 | $ 0 (7) | 2,017 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SMITH BRAD D C/O INTUIT INC. 2700 COAST AVENUE MOUNTAIN VIEW, CA 94043 |
X | Chairman, CEO & President |
/s/ Kerry McLean, by power-of-attorney | 08/31/2017 | |
**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) | This line corrects the number of Restricted Stock Units (MSPP Purchased Award) reported on the reporting person's Form 4 filed 8/14/2017. |
(2) | 1-for-1 |
(3) | Restricted Stock Units (MSPP Purchased Award) are fully vested upon grant; however, settlement occurs upon the earlier of termination of employment or three years from grant date. |
(4) | This line corrects the number of Restricted Stock Units (MSPP Matching Award) reported on the reporting person's Form 4 filed 8/14/2017. |
(5) | Represents vesting and settlement date for Restricted Stock Units (MSPP Matching Award). |
(6) | Restricted Stock Units (MSPP Matching Award) have no expiration date; these securities either vest or are canceled prior to vesting date. |
(7) | Reporting person was awarded the Restricted Stock Units (MSPP Matching Award) in connection with voluntary participation in a management stock purchase program (MSPP). |
Remarks: This amended Form 4 replaces the Form 4 filed on 8/14/2017 in its entirety, as corrections to granted RSUs were made to both lines in Table II. |