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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol CVENT INC [ CVT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 10/25/2016 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/25/2016 | G | V | 88,250 | D | $0.00(1) | 144,291 | I | See Footnote(2) | |
Common Stock | 10/25/2016 | G | V | 72,145 | D | $0.00(3) | 72,146 | I | See Footnote(2) | |
Common Stock | 10/25/2016 | G | V | 36,073 | D | $0.00(4) | 36,073 | I | See Footnote(2) | |
Common Stock | 10/25/2016 | G | V | 36,073 | D | $0.00(5) | 0 | I | See Footnote(2) | |
Common Stock | 10/25/2016 | G | V | 88,250 | A | $0.00(1) | 487,097 | D | ||
Common Stock | 11/22/2016 | M | 85,606 | A | $1.8 | 572,703 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $1.8 | 11/22/2016 | M | 85,606 | (6) | 03/11/2021 | Common Stock | 30,053 | $0.00 | 30,053 | D | ||||
Employee Stock Option (Right to Buy) | $27.84 | (7) | 12/31/2024 | Common Stock | 46,189 | 46,189 | D | ||||||||
Employee Stock Option (Right to Buy) | $32.43 | (8) | 10/15/2025 | Common Stock | 15,973 | 15,973 | D | ||||||||
Employee Stock Option (Right to Buy) | $21.73 | (9) | 04/06/2026 | Common Stock | 26,907(10) | 26,907(10) | D |
Explanation of Responses: |
1. These shares were transferred via a bona fide gift transaction by the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) to the Reporting Person, for which the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) did not receive any value or consideration. |
2. The shares are held directly by Dwayne Jerry Sye Grantor Retained Annuity Trust (2013), for which the Reporting Person serves as trustee. |
3. These shares were transferred via a bona fide gift transaction by the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) to Tait Sye, for which the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) did not receive any value or consideration. |
4. These shares were transferred via a bona fide gift transaction by the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) to Moozen Sye, for which the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) did not receive any value or consideration. |
5. These shares were transferred via a bona fide gift transaction by the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) to Yea Yuan Sye, for which the Dwayne Jerry Sye Grantor Retained Annuity Trust (2013) did not receive any value or consideration. |
6. All of the shares subject to this option are currently exercisable. |
7. One-quarter of the shares subject to this option are currently exercisable. The remaining shares will become exercisable in three equal annual installments on March 15 in each if 2017, 2018 and 2019. |
8. One-half of the shares subject to this option are currently exercisable. The remaining shares will become exercisable on September 15, 2017. |
9. The shares subject to this option will vest in four equal installments beginning on March 1, 2017. |
10. Due to a clerical error, the original Form 4 dated April 6, 2016 overstated the number of derivative securities beneficially owned following the reported transaction by 26,907. This Form 4 corrects the clerical error. |
Remarks: |
/s/ Lawrence Samuelson, Attorney-in-Fact | 11/25/2016 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |