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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 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pace Stephen J. C/O DYNATRACE, INC. 1601 TRAPELO ROAD, SUITE 116 WALTHAM, MA 02451 |
SVP, Global Sales |
/s/ Craig Newfield, by power of attorney | 02/12/2020 | |
**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 sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 12, 2019. |
(2) | The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.065 to $35.06, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. |
(3) | The price reported in Column 4 represents a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.085 to $35.82, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. |
(4) | On December 31, 2019, the reporting person made a charitable gift of 5,000 shares, which is being disclosed voluntarily in this Form 4. |
(5) | Bona Fide Gift. No compensation was given to the donor for the gifting of shares. |
(6) | Shares held by the Pace family 2018 Irrevocable Trust FBO Natalie E. Pace. Rita A. Pace is the trustee of the Pace family 2018 Irrevocable Trust FBO Natalie E. Pace. As such, the Reporting Person may be deemed to have shared voting and investment power with respect to the shares held by such trusts. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
(7) | Shares held by the Pace family 2018 Irrevocable Trust FBO Michael S. Pace. Rita A. Pace is the trustee of the Pace family 2018 Irrevocable Trust FBO Michael S. Pace. As such, the Reporting Person may be deemed to have shared voting and investment power with respect to the shares held by such trusts. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
(8) | Shares held by the Pace family 2018 Irrevocable Trust FBO Marc E. Pace. Rita A. Pace is the trustee of the Pace family 2018 Irrevocable Trust FBO Marc E. Pace. As such, the Reporting Person may be deemed to have shared voting and investment power with respect to the shares held by such trusts. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |