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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 | $ 0 | 06/05/2018 | M | 563 | (3) | (3) | Common Stock | 563 | $ 0 | 2,251 | D | ||||
Restricted Stock Unit | $ 0 | 06/05/2018 | M | 189 | (4) | (4) | Common Stock | 189 | $ 0 | 1,133 | D | ||||
Restricted Stock Unit | $ 0 | 06/05/2018 | M | 530 | (5) | (5) | Common Stock | 530 | $ 0 | 4,240 | D | ||||
Restricted Stock Unit | $ 0 | 06/05/2018 | M | 1,520 | (6) | (6) | Common Stock | 1,520 | $ 0 | 19,769 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FIELD JOHN DOUGLAS C/O TESLA, INC. 3500 DEER CREEK ROAD PALO ALTO, CA 94304 |
Senior VP, Engineering |
Aaron Beckman, Power of Attorney for John Douglas Field | 06/07/2018 | |
**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) | Shares of the Issuer's common stock were issued to the reporting person upon the vesting of restricted stock units on June 5, 2018. |
(2) | PURSUANT TO THE ISSUER'S EQUITY PLAN AND POLICIES, THESE SHARES OF COMMON STOCK WERE AUTOMATICALLY WITHHELD AND SOLD BY THE ISSUER TO SATISFY THE REPORTING PERSON'S TAX WITHHOLDING OBLIGATIONS RELATED TO THE VESTING OF RESTRICTED STOCK UNITS REPORTED HEREIN. |
(3) | 1/5th of 2,814 restricted stock units vested on June 5, 2018. The remaining 2,251 restricted stock units will commence vesting in four quarterly installments beginning September 5, 2018. |
(4) | 1/7th of 1,322 restricted stock units vested on June 5, 2018. The remaining 1,133 restricted stock units will commence vesting in six quarterly installments beginning September 5, 2018. |
(5) | 1/9th of 4,770 restricted stock units vested on June 5, 2018. The remaining 4,240 restricted stock units will commence vesting in eight quarterly installments beginning September 5, 2018. |
(6) | 1/14th of 21,289 restricted stock units vesting on June 5, 2018. The remaining 19,769 restricted stock units will commence vesting in thirteen quarterly installments beginning September 5, 2018. |