John D. Harkey Jr. - 12 May 2023 Form 4 Insider Report for Sumo Logic, Inc.

Reporting relationship: Director
Issuer ticker: N/A
Reported as of: 12 May 2023
Net transaction value: $0
SEC form: 4
Accepted by SEC: 12 May 2023, 16:11:30 UTC
Prior SEC filing: 22 Jul 2022
Next SEC filing: 28 Jun 2023
Source filing: View source filing
Reporting owner signature: /s/ Katherine Haar, Attorney-in-fact

Key filing fact

John D. Harkey Jr. filed Form 4 for Sumo Logic, Inc. on 12 May 2023.

Key facts

This page summarizes John D. Harkey Jr.'s Form 4 filing for Sumo Logic, Inc..
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 12 May 2023, 16:11.

Change

Previous filing in this sequence was filed on 22 Jul 2022.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

SUMO transaction

Common Stock

Disposed to Issuer

Transaction value
Shares: -35,236
Change %: -100%
Price
Shares after: 0
Date: 12 May 2023
Ownership: Direct
Footnotes: F1, F2, F3

SUMO transaction

Common Stock

Disposed to Issuer

Transaction value
Shares: -366,095
Change %: -100%
Price
Shares after: 0
Date: 12 May 2023
Ownership: See footnote
Footnotes: F3, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

John D. Harkey Jr. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 4 footnotes

Footnote F1

Certain of these shares are represented by previously reported restricted stock units ("RSUs"). At the effective time of the merger (the "Effective Time") each issued and outstanding RSU was cancelled and converted into the right to receive an amount equal to $12.05 in cash (the "Per Share Price"), subject to the terms set forth in the Merger Agreement.

Footnote F2

Pursuant to the terms of the Company's Outside Director Compensation Policy and/or the applicable award agreement governing such RSU, at the Effective Time, each unvested RSU was accelerated and converted into the right to receive an amount in cash equal to the Per Share Price.

Footnote F3

Pursuant to an Agreement and Plan of Merger (the "Merger Agreement") between Serrano Parent, Serrano Merger Sub, Inc., and Sumo Logic (the "Company"), each issued and outstanding share of the Company's common stock was cancelled and converted into the right to receive an amount in cash equal to the Per Share Price.

Footnote F4

These shares are held of record by JDH Investment Management, LLC, for which the Reporting Person serves as Chairman and Chief Executive Officer.