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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 Units | (3) | 05/06/2015 | M | 3,120 | (4) | 06/05/2015(5) | Common Stock | 3,120 | $ 0 | 0 | D | ||||
Stock Option (right to buy) | $ 45.35 | 05/06/2015 | A | 3,075 | (6) | 05/05/2025 | Common Stock | 3,075 | $ 0 | 3,075 | D | ||||
Restricted Stock Units | (3) | 05/06/2015 | A | 1,433 | (7) | 06/05/2016(5) | Common Stock | 1,433 | $ 0 | 1,433 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pimentel Albert A C/O IMPERVA, INC. 3400 BRIDGE PARKWAY, SUITE 200 REDWOOD SHORES, CA 94065 |
X |
/s/ Tram Phi, Attorney-in-Fact | 05/07/2015 | |
**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) | Represents the number of shares that were acquired in connection with the settlement of the restricted stock units listed in Table II. |
(2) | The shares are owned of record by the Pimentel Family Trust U/D/T dated April 24, 1991 for which Albert A. Pimentel and Laurie Jean Pimentel serve as trustees. |
(3) | Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting. |
(4) | The restricted stock units vest as follows: 100% of the underlying shares vest one year following the vesting commencement date of May 6, 2014. |
(5) | The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement. |
(6) | This stock option vests as to 100% of the underlying shares 12 months following the vesting commencement date of May 6, 2015. This stock option is subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer. |
(7) | The restricted stock units vest as follows: 100% of the underlying shares vest one year following the vesting commencement date of May 6, 2015. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer. |