UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stevens Brian C/O RED HAT, INC. 100 EAST DAVIE STREET RALEIGH, NC 27601 |
 |  |  Chief Technology Officer |  |
/s/ Stephanie Trunk, Atty in Fact UPOA | 10/18/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Represents 33,636 shares of common stock and 29,752 shares of unvested restricted stock subject to forfeiture. |
(2) | Includes 4,688 shares of unvested restricted stock originally granted on May 28, 2010, 5,835 shares of unvested restricted stock originally granted on May 31, 2011, 7,563 shares of unvested restricted stock originally granted on May 31, 2012, and 11,666 shares of unvested restricted stock originally granted on May 30, 2013. Each of these awards vests over four years subject to the achievement of a financial performance objective. If the performance objective is not achieved, the entire award is forfeited. If the performance objective is achieved, the award vests, subject to continued service, (i) 25% on the first anniversary of the vesting start date and (ii) 6.25% on a quarterly basis over the subsequent three-year period. |