FORM
4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities
Exchange Act of 1934 or Section 30(h) of the Investment Company Act of
1940
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OMB APPROVAL |
OMB Number: |
3235-0287 |
Expires: |
December 31, 2014 |
Estimated average burden |
hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue.
See
Instruction 1(b).
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1. Name and Address of Reporting Person
*
C/O MICROSTRATEGY INCORPORATED |
1850 TOWERS CRESCENT PLAZA |
(Street)
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2. Issuer Name
and
Ticker or Trading Symbol
MICROSTRATEGY Inc
[
MSTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
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10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 05/31/2022
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check
Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting
Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned |
1.
Title of Security (Instr.
3)
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2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any
(Month/Day/Year) |
3.
Transaction Code (Instr.
8)
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4.
Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported
Transaction(s) (Instr.
3 and 4)
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6.
Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7.
Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Director Stock Option (Right to buy)
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$
264.69
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05/31/2022 |
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A |
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5,000
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05/31/2032 |
Class A Common Stock
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5,000
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$
0
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5,000
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D
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Explanation of Responses: |
Remarks: |
Exhibit 24 - Power of Attorney |
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/s/ Joseph Phillips, Attorney-in-Fact |
06/02/2022 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
4
(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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and appoints
each of W. Ming Shao, Andrew Kang, and Joseph Phillips, signing singly, the
undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of MicroStrategy Incorporated (the "Company"),
Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange
Act of 1934 and the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4, or 5
and timely file such form with the United States Securities and Exchange
Commission and any stock exchange or similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
and in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this Power of Attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with, or the undersigned's liability under, Section 16 of the Securities
Exchange Act of 1934.
This Power of Attorney supersedes any and all previous Powers of Attorney
relating to Form 3, 4, and 5 filings in the undersigned's capacity as an officer
and/or director of the Company, and shall remain in full force and effect until
the undersigned is no longer required to file Forms 3, 4, and 5 with respect to
the undersigned's holdings of and transactions in securities issued by the
Company, unless earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.
Signature: /s/ Carl J. Rickersen
Print Name: Carl J. Rickertsen
Print Date: June 2, 2022
Exhibit A:
Mr. Rickertsen also directly owns a director stock option to purchase 1,250
shares of Class A common stock with (i) an exercise price of $129.57 per share
and (ii) an expiration date of May 31, 2028. The 1,250 shares subject to this
option vested on May 31, 2022.
Mr. Rickertsen also directly owns a director stock option to purchase 2,500
shares of Class A common stock with (i) an exercise price of $132.91 per share
and (ii) an expiration date of May 31, 2029. Of the remaining 2,500 shares
subject to this option, 1,250 shares vested on May 31, 2022 and 1,250 shares are
scheduled to vest on May 31, 2023.
Mr. Rickertsen also directly owns a director stock option to purchase 3,750
shares of Class A common stock with (i) an exercise price of $124.48 per share
and (ii) an expiration date of May 31, 2030. Of the remaining 3,750 shares
subject to this option, 1,250 shares vested on May 31, 2022, 1,250 shares are
scheduled to vest on May 31, 2023, and 1,250 shares are scheduled to vest on May
31, 2024.
Mr. Rickertsen also directly owns a director stock option to purchase 5,000
shares of Class A common stock with (i) an exercise price of $470.00 per share
and (ii) an expiration date of May 31, 2031. Of the 5,000 shares subject to this
option, 1,250 shares vested on May 31, 2022, 1,250 shares are scheduled to vest
on May 31, 2023, 1,250 shares are scheduled to vest on May 31, 2024, and 1,250
shares are scheduled to vest on May 31, 2025.