Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-19-039163
Date:2019-06-24
Issuer: MIMECAST LTD (MIME)
Original Submission Date:

Reporting Person:

BAUER PETER
C/O MIMECAST NORTH AMERICA, INC.
191 SPRING STREET LEXINGTON, MA 02421

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
ORDINARY SHARES 2019-06-24 S 9,997 d $45.45 12,253 direct
ORDINARY SHARES 2019-06-24 S 1,253 d $46.60 11,000 direct
ORDINARY SHARES 2019-06-24 S 6,453 d $45.58 2,206,047 indirect f6
ORDINARY SHARES 2019-06-24 S 1,047 d $46.60 2,205,000 indirect f6
ORDINARY SHARES 2019-06-24 0 $0.00 1,799,376 indirect f7
RESTRICTED SHARE UNITS 2019-06-24 0 $0.00 6,750 direct
RESTRICTED SHARE UNITS 2019-06-24 0 $0.00 18,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on may 21, 2018.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $45.11 - $45.74, 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 within the range set forth in this footnote.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $46.60 - $46.63, 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 within the range set forth in this footnote.
f4 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on september 10, 2018.
f5 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $45.10 - $45.735, 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 within the range set forth in this footnote.
f6 these shares are held by rock trustees limited as trustee of the butterworth trust (the "butterworth trust"), of which the reporting person is a beneficiary. as trustee of the butterworth trust, rock trustees limited exercises dispositive power over the shares held therein. the reporting person disclaims section 16 beneficial ownership of the shares held by the butterworth trust, except to the extent, if any, of his pecuniary interest therein.
f7 these shares are held by the declaration of trust of peter bauer. the reporting person is a beneficiary, and the sole trustee of, the declaration of trust of peter bauer.
f8 each restricted share unit represents a contingent right to receive one share of the issuer's ordinary shares.
f9 these restricted share units were granted on april 2, 2018. twenty-five percent (25%) of the units vested on april 2, 2019, and the remainder of the units vest on an annual basis over the next three (3) years, provided that the reporting person remains an employee of the issuer on such vesting date.
f10 these restricted share units were granted on april 1, 2019. twenty-five percent (25%) of the units vest on april 1, 2020 and the remainder of the units vest on an annual basis over the next three (3) years, provided that the reporting person remains an employee of the issuer on such vesting date.
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