SEC Form 4 · accession 0000899243-19-001093
Apptio Inc · APTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt Shintaffer
Officer — Chief Financial Officer
Period of report
Jan 10, 2019
Accepted (ET)
Jan 11, 2019 · 9:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001419625
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2,F3 | Jan 10, 2019 | D | 601,741 | — | D | 0 | D | |
| Class A Common StockF3,F4 | Jan 10, 2019 | D | 34,142 | — | D | 0 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F5,F6 | $13.55 | Jan 10, 2019 | D | 1,250 | D | — | Feb 19, 2025 | Common Stock | 1,250 | 0 | D |
| Stock Option (right to buy)F5,F7 | $13.99 | Jan 10, 2019 | D | 1,250 | D | — | May 6, 2025 | Common Stock | 1,250 | 0 | D |
| Stock Option (right to buy)F5,F8 | $14.31 | Jan 10, 2019 | D | 9,203 | D | — | Nov 5, 2025 | Common Stock | 9,203 | 0 | D |
| Stock Option (right to buy)F5,F9 | $14.04 | Jan 10, 2019 | D | 5,950 | D | — | May 12, 2027 | Common Stock | 5,950 | 0 | D |
| Stock Option (right to buy)F10,F11 | $11.46 | Jan 10, 2019 | D | 1,690 | D | — | Jun 17, 2024 | Common Stock | 1,690 | 0 | D |
| Stock Option (right to buy)F10,F6 | $13.55 | Jan 10, 2019 | D | 9,145 | D | — | Feb 19, 2025 | Common Stock | 9,145 | 0 | D |
| Stock Option (right to buy)F10,F7 | $13.99 | Jan 10, 2019 | D | 12,839 | D | — | May 6, 2025 | Common Stock | 12,839 | 0 | D |
| Stock Option (right to buy)F12,F13,F8 | $14.31 | Jan 10, 2019 | D | 149,131 | D | — | Nov 5, 2025 | Common Stock | 149,131 | 0 | D |
| Stock Option (right to buy)F14,F15,F9 | $14.04 | Jan 10, 2019 | D | 41,650 | D | — | May 12, 2027 | Common Stock | 41,650 | 0 | D |
Explanation of responses
- F1Includes 68,375 unvested RSUs that represent contingent rights to receive 68,375 shares of Issuer's Class A Common stock upon settlement and which were cancelled and automatically converted into the right to receive $38.00 per share on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F10Consists of vested options which were cancelled and automatically converted into the right to receive $38.00 per share, less the applicable per share exercise price and subject to any applicable withholding taxes, on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F111/4th of the shares subject to the option became vested and exercisable on April 1, 2015 and 1/48th of the shares subject to the option vest monthly thereafter.
- F12Includes 52,466 unvested options which were cancelled and automatically converted into the right to receive $38.00 per share, less the applicable per share exercise price and subject to any applicable withholding taxes, on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F13Includes 96,665 vested options which were cancelled and automatically converted into the right to receive $38.00 per share, less the applicable per share exercise price and subject to any applicable withholding taxes, on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F14Includes 23,800 unvested options which were cancelled and automatically converted into the right to receive $38.00 per share, less the applicable per share exercise price and subject to any applicable withholding taxes, on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F15Includes 17,850 vested options which were cancelled and automatically converted into the right to receive $38.00 per share, less the applicable per share exercise price and subject to any applicable withholding taxes, on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F2Includes 12,740 unvested performance restricted stock units that represent contingent rights to receive 12,740 shares of Issuer's Class A Common Stock and which were cancelled and automatically converted into the right to receive $38.00 per share on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F3Disposed of pursuant to the merger agreement between Apptio, Inc., Bellevue Parent, LLC, and Bellevue Merger Sub, Inc. (the "Merger Agreement") in exchange for a cash payment of $38.00 per share.
- F4Shares held by the Reporting Person's spouse.
- F5Consists of unvested options which were cancelled and automatically converted into the right to receive $38.00 per share, less the applicable per share exercise price and subject to any applicable withholding taxes, on the same vesting terms as immediately prior to the consummation of the Merger Agreement.
- F61/4th of the shares subject to the option became vested and exercisable on April 1, 2016 and 1/48th of the shares subject to the option vest monthly thereafter.
- F71/4th of the shares subject to the option became vested and exercisable on May 1, 2016 and 1/48th of the shares subject to the option vest monthly thereafter.
- F81/8th of the shares subject to the option became vested and exercisable on May 1, 2017 and 1/96th of the shares subject to the option shall vest monthly thereafter for the next 36 months. 1/8th of the shares subject to the option shall become vested and exercisable on September 29, 2017 and 1/96th of the shares subject to the option shall vest monthly thereafter for the next 36 months.
- F91/4th of the shares subject to the option shall become vested and exercisable on May 15, 2018 and 1/16th of the remaining shares vest quarterly thereafter over the following three years, subject to the Reporting Person's continued service through each vesting date.