SEC Form 4 · accession 0001209191-17-061639
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 15, 2017
Accepted (ET)
Nov 17, 2017 · 7:09 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 StockF2 | Nov 15, 2017 | C | 10,000 | $0.00 | A | 56,577 | D | |
| Class A Common StockF4,F5 | Nov 15, 2017 | S | 10,000 | $21.3652 | D | 46,577 | D | |
| Class A Common StockF2 | Nov 16, 2017 | C | 20,000 | $0.00 | A | 66,577 | D | |
| Class A Common StockF6,F5 | Nov 16, 2017 | S | 20,000 | $22.0834 | 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 StockF7 | $0.00 | Nov 15, 2017 | C | 10,000 | D | — | — | Class A Common Stock | 10,000 | 919,146 | D |
| Class B Common StockF7 | $0.00 | Nov 16, 2017 | C | 20,000 | D | — | — | Class A Common Stock | 20,000 | 899,146 | D |
Explanation of responses
- F1Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the reporting person.
- F2Includes 46,200 RSUs that represent contingent rights to receive 46,200 shares of the Issuer's Class A Common Stock upon settlement and 10,377 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 $21.26 to $21.79. 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 $22.00 to $22.20.
- 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.