|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COOK SCOTT D C/O INTUIT INC. 2700 COAST AVENUE MOUNTAIN VIEW, CA 94043 |
X | Chairman of Exec. Committee |
/s/ Elizabeth McBride, under power-of-attorney | 03/28/2018 | |
**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) | Transaction effected pursuant to a 10b5-1 trading plan adopted in June 2017. |
(2) | This transaction was executed in multiple trades ranging from $176.76 to $177.74. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(3) | The Form 4 filed 3/16/2018 erroneously included 12 shares acquired by the reporting person through the Intuit Inc. Employee Stock Purchase Plan, which were noted in Footnote 3 to that Form 4. This Form 4/A corrects that report in its entirety, as ownership is overstated by 24 shares in Column 5 for Rows 1 through 6 and Footnote 7. The aggregate overstated ownership resulted from erroneously reported purchases through the Intuit Inc. Employee Stock Purchase Plan on December 15, 2017 and March 15, 2018. A Form 4/A has been previously filed to correct the ownership overstatement due to the reported activity for December 15, 2017. |
(4) | This transaction was executed in multiple trades ranging from $177.75 to $178.35. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(5) | This transaction was executed in multiple trades ranging from $177.51 to $178.49. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(6) | This transaction was executed in multiple trades ranging from $178.50 to $179.28. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(7) | Shares held in trusts as follows: 10,476,164 shares held by the Scott D. Cook and Helen Signe Ostby Family Trust UTA 12/30/93 and 43,868 shares held by the Scott D. Cook and Helen Signe Ostby 1994 Charitable Trust UTA 12/30/94. |
(8) | Shares held in trusts for the benefit of family members, of which the reporting person is not a trustee but retains investment control. |