Statement of Changes in Beneficial Ownership (4)
June 07 2016 - 6:56PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
Bjork Lars
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2. Issuer Name
and
Ticker or Trading Symbol
QLIK TECHNOLOGIES INC
[
QLIK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO and President
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(Last)
(First)
(Middle)
C/O QLIK TECHNOLOGIES INC.,, 150 N. RADNOR CHESTER ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/5/2016
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(Street)
RADNOR, PA 19087
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/5/2016
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M
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15075
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A
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(1)
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886271.746
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D
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Common Stock
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6/6/2016
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M
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17650
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A
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(1)
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903921.746
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D
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Common Stock
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6/6/2016
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S
(2)
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12035
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D
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$30.1363
(3)
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891886.746
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D
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Common Stock
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6/7/2016
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M
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5575
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A
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(1)
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897461.746
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D
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Common Stock
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6/7/2016
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M
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4950
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A
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(1)
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902411.746
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D
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Common Stock
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6/7/2016
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S
(2)
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4765
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D
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$30.085
(4)
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897646.746
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D
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Common Stock
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0.851
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I
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By 2013 GRAT
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Common Stock
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28823.403
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I
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By 2012 GRAT
(5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(1)
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6/5/2016
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M
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15075
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(6)
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(7)
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Common Stock
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15075
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$0.00
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45225
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D
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Restricted Stock Unit
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(1)
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6/6/2016
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M
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17650
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(8)
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(7)
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Common Stock
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17650
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$0.00
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35300
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D
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Restricted Stock Unit
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(1)
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6/7/2016
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M
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5575
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(9)
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(7)
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Common Stock
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5575
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$0.00
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5575
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D
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Restricted Stock Unit
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(1)
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6/7/2016
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M
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4950
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(10)
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(7)
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Common Stock
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4950
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$0.00
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0
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D
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Explanation of Responses:
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(
1)
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Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
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(
2)
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Represents shares of the Issuer's common stock sold to satisfy tax obligations relating to the acquisition of shares of the Issuer's common stock in connection with the vesting of RSUs described in this Form 4.
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(
3)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.13 to $30.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
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(
4)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.085 to $30.0881, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
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(
5)
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The Reporting Person's spouse in the successor trustee of the trust. The Reporting Person disclaims beneficial ownership of these shares, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
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(
6)
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The RSUs vest in four (4) equal annual installments beginning June 5, 2016, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
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(
7)
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Not applicable.
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(
8)
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The RSUs vest in four (4) equal annual installments beginning June 6, 2015, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
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(
9)
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The RSUs vest in four (4) equal annual installments beginning June 7, 2014, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
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(
10)
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The RSUs vest in four (4) equal annual installments beginning June 7, 2013, provided that the Reporting Person remains continuously employed by the Issuer through each applicable vesting date. The vested shares will be delivered to the Reporting Person upon vesting.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bjork Lars
C/O QLIK TECHNOLOGIES INC.,
150 N. RADNOR CHESTER ROAD
RADNOR, PA 19087
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X
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CEO and President
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Signatures
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/s/ Deborah C. Lofton, Attorney-in-Fact for Lars Bjork
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6/7/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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