SEC Form 4 · accession 0001209191-17-060999

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

Nov 13, 2017

Accepted (ET)

Nov 15, 2017 · 6:52 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
Class A Common Stock^F2	Nov 13, 2017	C	20,000	$0.00	A	66,577	D
Class A Common Stock^F4,F5	Nov 13, 2017	S	20,000	$22.1187	D	46,577	D
Class A Common Stock^F2	Nov 14, 2017	C	20,000	$0.00	A	66,577	D
Class A Common Stock^F6,F5	Nov 14, 2017	S	20,000	$21.986	D	46,577	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common Stock^F8,F7	$0.00	Nov 13, 2017	C	20,000	D	—	—	Class A Common Stock	20,000	949,146	D
Class B Common Stock^F7	$0.00	Nov 14, 2017	C	20,000	D	—	—	Class A Common Stock	20,000	929,146	D
Class B Common Stock^F9,F10,F7	$0.00	holding	—	—	—	—	—	Class A Common Stock	76,469	76,469	I
Class B Common Stock^F11,F12,F7	$0.00	holding	—	—	—	—	—	Class A Common Stock	76,469	76,469	I
Class B Common Stock^F13,F14,F7	$0.00	holding	—	—	—	—	—	Class A Common Stock	23,531	23,531	I

Explanation of responses

F1Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the reporting person.
F10These shares are held by KCS 2012 GRAT.
F11Excludes 11,269 shares previously beneficially owned indirectly through the KDS 2012 GRAT which were distributed to the reporting person's spouse on December 31, 2016 and are now beneficially owned directly by the reporting person's spouse.
F12These shares are held by KDS 2012 GRAT.
F13Includes 11,269 shares previously beneficially owned indirectly through the KDS 2012 GRAT which were distributed to the reporting person's spouse on December 31, 2016 and are now beneficially owned directly by the reporting person's spouse.
F14These shares are held by the Reporting Person's spouse.
F2Includes 46,200 RSUs that represent contingent rights to receive 46,200 shares of the Issuer's Class A Common Stock upon settlement and 20,377 shares of Class A Common Stock.
F3The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 13, 2017.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.67 to $22.44. 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 ranges set forth in footnotes (4) and (6) to this Form 4.
F5Includes 46,200 RSUs that represent contingent rights to receive 46,200 shares of the Issuer's Class A Common Stock upon settlement and 377 shares of Class A Common Stock.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.81 to $22.28.
F7Class B Common Stock is convertible at any time, at the holder's election, into Class A Common Stock on a one-for-one basis and has no expiration date.
F8Includes 11,269 shares previously beneficially owned indirectly through the KCS 2012 GRAT which were distributed to the reporting person on December 31, 2016 and are now beneficially owned directly.
F9Excludes 11,269 shares previously beneficially owned indirectly through the KCS 2012 GRAT which were distributed to the reporting person on December 31, 2016 and are now beneficially owned directly.