Joseph B. Kleine - 12 Jan 2022 Form 4 Insider Report for Doximity, Inc. (DOCS)

Source evidence Original filing metadata and source links for verification. 4 source fields
SEC form
4
Accepted by SEC
14 Jan 2022, 15:46:07 UTC
Prior SEC filing
16 Nov 2021
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
/s/ Jennifer Chaloemtiarana, Attorney-in-Fact

Key filing fact

Joseph B. Kleine filed Form 4 for Doximity, Inc. (DOCS) on 14 Jan 2022.

Key facts

  • This page summarizes Joseph B. Kleine's Form 4 filing for Doximity, Inc. (DOCS).
  • 14 reported transactions and 13 derivative rows are listed below.
  • Accepted by SEC: 14 Jan 2022, 15:46.

Change

  • Previous filing in this sequence was filed on 16 Nov 2021.
  • 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.

DOCS transaction

Class A Common Stock

Conversion of derivative security

Transaction value
Shares
+371,760
Change %
+531%
Price
Shares after
441,760
Date
12 Jan 2022
Ownership
Direct
Footnotes
F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

DOCS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
$0
Shares
-70,000
Change %
-100%
Price
$0.000000*
Shares after
0
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class B Common Stock
Underlying amount
70,000
Exercise price
$0.5700
Footnotes
F2, F3, F4
DOCS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
$0
Shares
-6,400
Change %
-100%
Price
$0.000000*
Shares after
0
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class B Common Stock
Underlying amount
6,400
Exercise price
$0.5700
Footnotes
F3, F4, F5
DOCS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
$0
Shares
-183,783
Change %
-93%
Price
$0.000000
Shares after
12,895
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class B Common Stock
Underlying amount
183,783
Exercise price
$0.9700
Footnotes
F3, F4, F6
DOCS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
$0
Shares
-8,000
Change %
-100%
Price
$0.000000*
Shares after
0
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class B Common Stock
Underlying amount
8,000
Exercise price
$0.7200
Footnotes
F3, F4, F7
DOCS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
$0
Shares
-68,577
Change %
-86%
Price
$0.000000
Shares after
11,423
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class B Common Stock
Underlying amount
68,577
Exercise price
$0.7200
Footnotes
F3, F4, F8
DOCS transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
$0
Shares
-35,000
Change %
-100%
Price
$0.000000*
Shares after
0
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class B Common Stock
Underlying amount
35,000
Exercise price
$0.7200
Footnotes
F3, F4, F9
DOCS transaction Derivative

Class B Common Stock

Options Exercise

Transaction value
$0
Shares
+70,000
Change %
Price
$0.000000
Shares after
70,000
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
70,000
Exercise price
Footnotes
F4
DOCS transaction Derivative

Class B Common Stock

Options Exercise

Transaction value
$0
Shares
+6,400
Change %
+9.1%
Price
$0.000000
Shares after
76,400
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
6,400
Exercise price
Footnotes
F4
DOCS transaction Derivative

Class B Common Stock

Options Exercise

Transaction value
$0
Shares
+183,783
Change %
+241%
Price
$0.000000
Shares after
260,183
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
183,783
Exercise price
Footnotes
F4
DOCS transaction Derivative

Class B Common Stock

Options Exercise

Transaction value
$0
Shares
+8,000
Change %
+3.1%
Price
$0.000000
Shares after
268,183
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
8,000
Exercise price
Footnotes
F4
DOCS transaction Derivative

Class B Common Stock

Options Exercise

Transaction value
$0
Shares
+68,577
Change %
+26%
Price
$0.000000
Shares after
336,760
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
68,577
Exercise price
Footnotes
F4
DOCS transaction Derivative

Class B Common Stock

Options Exercise

Transaction value
$0
Shares
+35,000
Change %
+10%
Price
$0.000000
Shares after
371,760
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
35,000
Exercise price
Footnotes
F4
DOCS transaction Derivative

Class B Common Stock

Conversion of derivative security

Transaction value
$0
Shares
-371,760
Change %
-100%
Price
$0.000000*
Shares after
0
Date
12 Jan 2022
Ownership
Direct
Underlying class
Class A Common Stock
Underlying amount
371,760
Exercise price
Footnotes
F1, F4
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 9 footnotes

Footnote F1

Each share of Class B Common Stock, par value $0.001 per share (the "Class B Common Stock"), converted into one share of Class A Common Stock, par value $0.001 per share (the "Class A Common Stock"), at the option of the holder.

Footnote F2

The stock option vested as to 1/4th of the shares subject to the stock option on February 22, 2017 and the remaining shares vested in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The stock option was granted on February 24, 2016 and became fully vested on February 22, 2020.

Footnote F3

In the event there is a change of control and the Issuer terminates the Reporting Person's employment other than for cause or the Reporting Person terminates his employment with the Issuer as a result of a constructive termination, in either case within 12 months following the consummation of a change of control, 100% of the then-unvested shares subject to the stock option shall vest and become exercisable as of such termination date.

Footnote F4

Each share of Class B Common Stock is convertible into one share of Class A Common Stock at any time at the option of the holder. Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock, except for certain permitted transfers described in the Issuer's amended and restated certificate of incorporation; (2) the death or incapacity of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the tenth anniversary of the effectiveness of the registration statement in connection with the Issuer's initial public offering; or (b) the date specified by a vote of the holders of at least 66 2/3% of the outstanding shares of Class B Common Stock, voting as a single class.

Footnote F5

The stock option vested subject to a time-based and performance-based vesting schedule. The stock option vested in part upon the achievement of certain performance goals in 2016 and 2017. Upon determination by the Issuer's Board of Directors that such performance goals were met, the stock option vested in 12 equal monthly installments after March 28, 2017, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The stock option was granted on March 21, 2016 and became fully vested on March 28, 2018.

Footnote F6

The stock option vests in 48 equal monthly installments after March 19, 2018, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The stock option was granted on March 19, 2018.

Footnote F7

The stock option vested in 12 equal monthly installments following the achievement of certain performance goals in calendar year 2017, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The stock option was granted on March 28, 2017 and became fully vested on March 19, 2019.

Footnote F8

The stock option vested in 48 equal monthly installments after February 28, 2017, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The stock option was granted on February 28, 2017 and became fully vested on February 28, 2021.

Footnote F9

The stock option vested in 48 equal monthly installments after November 9, 2016, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The stock option was granted on November 9, 2016 and became fully vested on November 9, 2020.

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