SEC Form 4 · accession 0001209191-17-062469
Apptio Inc · APTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sachin Gupta
Officer — See Remarks · Director · 10% Owner
Period of report
Nov 21, 2017
Accepted (ET)
Nov 24, 2017 · 6:31 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 21, 2017 | C | 18,400 | $0.00 | A | 71,954 | D | |
| Class A Common StockF4,F5 | Nov 21, 2017 | S | 18,400 | $22.0955 | D | 53,554 | D | |
| Class A Common StockF6 | Nov 21, 2017 | C | 21,600 | $0.00 | A | 21,600 | I | See footnote |
| Class A Common StockF7,F6 | Nov 21, 2017 | S | 21,600 | $22.0949 | D | 0 | I | See footnote |
| Class A Common StockF2 | Nov 22, 2017 | C | 18,400 | $0.00 | A | 71,954 | D | |
| Class A Common StockF8,F5 | Nov 22, 2017 | S | 18,400 | $22.2247 | D | 53,554 | D | |
| Class A Common StockF6 | Nov 22, 2017 | C | 21,600 | $0.00 | A | 21,600 | I | See footnote |
| Class A Common StockF9,F6 | Nov 22, 2017 | S | 21,600 | $22.225 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF10 | $0.00 | Nov 21, 2017 | C | 18,400 | D | — | — | Class A Common Stock | 18,400 | 4,352,652 | D |
| Class B Common StockF6,F10 | $0.00 | Nov 21, 2017 | C | 21,600 | D | — | — | Class A Common Stock | 21,600 | 792,181 | I |
| Class B Common StockF10 | $0.00 | Nov 22, 2017 | C | 18,400 | D | — | — | Class A Common Stock | 18,400 | 4,334,252 | D |
| Class B Common StockF6,F10 | $0.00 | Nov 22, 2017 | C | 21,600 | D | — | — | Class A Common Stock | 21,600 | 770,581 | I |
Explanation of responses
- F1Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the reporting person.
- F10Class 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.
- F2Includes 52,800 RSUs that represent contingent rights to receive 52,800 shares of the Issuer's Class A Common Stock upon settlement and 19,154 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 March 6, 2017.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.92 to $22.27. 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), (7), (8) and (9) to this Form 4.
- F5Includes 52,800 RSUs that represent contingent rights to receive 52,800 shares of the Issuer's Class A Common Stock upon settlement and 754 shares of Class A Common Stock.
- F6These shares are held of record by PG GRAT of 2016.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.92 to $22.28.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.47.
- F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.48.
Remarks
President and Chief Executive Officer