SEC Form 3 · accession 0000899243-18-026590
Anaplan, Inc. · PLAN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David H Morton Jr.
Officer — Chief Financial Officer
Period of report
Oct 11, 2018
Accepted (ET)
Oct 11, 2018 · 7:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001540755
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 8,431 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | holding | — | — | — | — | — | Common Stock | 950,000 | — | D |
| Stock Option (right to buy)F2 | $11.86 | holding | — | — | — | — | Sep 13, 2028 | Common Stock | 191,569 | — | D |
Explanation of responses
- F1The Reporting Person was granted restricted stock units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. 25% of the RSUs will vest on September 10, 2019 and an additional 6.25% of the RSUs will vest quarterly thereafter provided that the Reporting Person remains in continuous service on each vesting date. Unless otherwise provided, on each vesting date shares of Common Stock will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction.
- F225% of the stock option will vest on September 10, 2019, with the remainder exercisable in 36 equal monthly installments thereafter provided that the Reporting Person remains in continuous service on each vesting date; the option may also be exercised early subject to Issuer's right of repurchase.