SEC Form 4 · accession 0001209191-18-030043
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
May 10, 2018
Accepted (ET)
May 14, 2018 · 7:03 pm EDT
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 | May 10, 2018 | C | 759,757 | $0.00 | A | 806,334 | D | |
| Class A Common StockF2 | May 10, 2018 | C | 34,142 | $0.00 | A | 34,142 | 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 StockF3 | $0.00 | May 10, 2018 | C | 759,757 | D | — | — | Class A Common Stock | 759,757 | 0 | D |
| Class B Common StockF2,F3 | $0.00 | May 10, 2018 | C | 34,142 | D | — | — | Class A Common Stock | 34,142 | 0 | I |
| Stock Option (right to buy)F5 | $11.46 | May 10, 2018 | J | 25,000 | D | — | Jun 17, 2024 | Class B Common Stock | 25,000 | 0 | D |
| Stock Option (right to buy)F5 | $11.46 | May 10, 2018 | J | 25,000 | A | — | Jun 17, 2024 | Class A Common Stock | 25,000 | 25,000 | D |
| Stock Option (right to buy)F6 | $13.55 | May 10, 2018 | J | 20,000 | D | — | Feb 19, 2025 | Class B Common Stock | 20,000 | 0 | D |
| Stock Option (right to buy)F6 | $13.55 | May 10, 2018 | J | 20,000 | A | — | Feb 19, 2025 | Class A Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy)F7 | $13.99 | May 10, 2018 | J | 15,000 | D | — | May 6, 2025 | Class B Common Stock | 15,000 | 0 | D |
| Stock Option (right to buy)F7 | $13.99 | May 10, 2018 | J | 15,000 | A | — | May 6, 2025 | Class A Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F8 | $14.31 | May 10, 2018 | J | 160,000 | D | — | Nov 5, 2025 | Class B Common Stock | 160,000 | 0 | D |
| Stock Option (right to buy)F8 | $14.31 | May 10, 2018 | J | 160,000 | A | — | Nov 5, 2025 | Class A Common Stock | 160,000 | 160,000 | D |
Explanation of responses
- F1Includes 46,200 RSUs that represent contingent rights to receive 46,200 shares of the Issuer's Class A Common Stock upon settlement and 760,134 shares of Class A Common Stock.
- F2These shares are held by the Reporting Person's spouse.
- F3The Company's Class B Common Stock automatically converted to Class A Common Stock on May 10, 2018, which is the date the Class B Common Stock ceased to represent at least 25% of the Issuer's outstanding common stock, as established in the Issuer's Amended and Restated Certificate of Incorporation.
- F4In connection with the conversion described in footnote (3), outstanding options to purchase Class B Common Stock issued under the Issuer's 2011 Executive Equity Incentive Plan and 2007 Stock Plan remain unchanged, except that they now represent a right to buy shares of the Issuer's Class A Common Stock.
- F5The option became fully vested and exercisable on April 1, 2018.
- 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 became vested and exercisable on September 29, 2017 and 1/96th of the shares subject to the option vest monthly thereafter for the next 36 months.