Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS
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Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS
The following table sets forth certain information concerning the beneficial ownership of Autodesk’s common stock as of April 30, 2024, for each person or entity who is known by Autodesk to own beneficially more than 5% of the outstanding shares of Autodesk common stock, each of Autodesk’s directors, each of the named executive officers, including former executive officers, and all directors and executive officers as a group.
| 5% Stockholders, Directors and Officers (1) | Common Stock Beneficially Owned (2) | Percentage Beneficially Owned (3) | ||||||||||||
| Principal Stockholders: | ||||||||||||||
| The Vanguard Group, Inc. (4) | 19,038,582 | 8.8 | % | |||||||||||
| BlackRock, Inc. (5) | 19,233,480 | 8.9 | % | |||||||||||
| Non-Employee Directors (6): | ||||||||||||||
| Stacy J. Smith | 19,934 | * | ||||||||||||
| Karen Blasing | 7,237 | * | ||||||||||||
| Reid French (7) | 12,958 | * | ||||||||||||
| Dr. Ayanna Howard | 2,241 | * | ||||||||||||
| Blake Irving | 8,261 | * | ||||||||||||
| Mary T. McDowell | 33,766 | * | ||||||||||||
| Stephen Milligan (8) | 9,556 | * | ||||||||||||
| Lorrie M. Norrington | 7,248 | * | ||||||||||||
| Betsy Rafael | 3,237 | * | ||||||||||||
| Rami Rahim | 2,161 | * | ||||||||||||
| Named Executive Officers: | ||||||||||||||
| Andrew Anagnost | 46,011 | * | ||||||||||||
| Deborah L. Clifford | 15,602 | * | ||||||||||||
| Steven M. Blum (9) | 72,095 | * | ||||||||||||
| Ruth Ann Keene | 60,063 | * | ||||||||||||
| Rebecca Pearce | 5,865 | * | ||||||||||||
| All directors and executive officers as a group (15 individuals) | 306,235 | * |
- Represents less than one percent (1%) of the outstanding common stock.
(1)Unless otherwise indicated in their respective footnote, the address for each listed person is c/o Autodesk, Inc., One Market Street, Ste. 400, San Francisco, California 94105.
(2)The number and percentage of shares beneficially owned is determined in accordance with Rule 13d-3 of the Exchange Act, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under Rule 13d-3, beneficial ownership includes any shares the individual or entity has the right to acquire within 60 days of April 30, 2024, through the exercise of any stock option or other right. Unless otherwise indicated in the footnotes, each person or entity has sole voting and investment power (or shares such powers with his or her spouse) with respect to the shares shown as beneficially owned.
(3)The total number of shares of common stock outstanding as of April 30, 2024, was 215,476,226.
(4)As of December 29, 2023, the reporting date of The Vanguard Group, Inc.’s most recent filing with the SEC pursuant to Section 13(g) of the Exchange Act filed on February 13, 2024, The Vanguard Group, Inc. was deemed to have sole dispositive power with respect to 18,113,756 shares, shared voting power with respect to 285,944 shares, and shared dispositive power with respect to 924,826 shares. The address of The Vanguard Group, Inc. is 100 Vanguard Blvd., Malvern, PA 19355.
(5)As of December 31, 2023, the reporting date of BlackRock, Inc.’s most recent filing with the SEC pursuant to Section 13(g) of the Exchange Act filed on January 25, 2024, BlackRock, Inc. was deemed to have sole voting power with respect to 17,449,172 shares, sole dispositive power with respect to 19,233,480 shares. The address of BlackRock, Inc. is 50 Hudson Yards, New York, NY 10001.
(6)Directors’ holdings reported include vested awards deferred under our 2012 Outside Directors’ Stock Plan as well as unvested awards granted in fiscal year 2024 and assume they will vest in connection with the fiscal year 2025 Annual Meeting of Stockholders.
(7)Includes 20 shares held indirectly by trust.
(8)Includes 7,922 shares held indirectly by trust.
(9)Includes 71,549 shares held indirectly by trust.
EQUITY COMPENSATION PLAN INFORMATION
The following table summarizes the number of outstanding options and awards granted to employees and directors, as well as the number of securities remaining available for future issuance under these plans as of January 31, 2024:
| (a) | (b) | (c) | ||||||||||||||||||
| Plan category | Number of securities to be issued upon exercise or vesting of outstanding options and awards (in millions) | Weighted-average exercise price of outstanding options | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (in millions) (2) | |||||||||||||||||
| Equity compensation plans approved by security holders (1) | 5 | $ | 21.39 | 18 | ||||||||||||||||
| Total | 5 | $ | 21.39 | 18 |
(1)Includes the 2022 Equity Incentive Plan that was approved by Autodesk’s stockholders and became effective on June 16, 2022, and the 2012 Employee Stock Plan, as amended, set forth in Part II, Item 8, Financial Statements and Supplementary Data, Note 4, "Equity Compensation".
(2)Included in this amount are 4 million securities available for future issuance under Autodesk’s Employee Stock Purchase Plan.
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