SEC Form 4 · accession 0000899243-18-026967

Anaplan, Inc. · PLAN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Director · 10% Owner

Period of report

Oct 16, 2018

Accepted (ET)

Oct 18, 2018 · 5:03 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^F1,F4,F3	Oct 16, 2018	C	99,025	—	A	99,947	I	By Granite Ventures Entrepreneurs Fund II, L.P.
Common Stock^F1,F4,F3	Oct 16, 2018	C	12,237,847	—	A	12,351,794	I	By Granite Ventures II, L.P.
Common Stock^F1,F4,F3	Oct 16, 2018	C	223,246	—	A	250,036	I	By GV Anaplan SPV, L.P.
Common Stock^F2	holding	—	—		—	60,669	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	282	D	—	—	Common Stock	282	I
Series A Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	34,850	D	—	—	Common Stock	34,850	I
Series A Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	27,264	D	—	—	Common Stock	27,264	I
Series B Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	72,071	D	—	—	Common Stock	72,071	I
Series B Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	8,804,194	D	—	—	Common Stock	8,804,194	I
Series C Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	25,466	D	—	—	Common Stock	25,466	I
Series C Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	3,110,903	D	—	—	Common Stock	3,110,903	I
Series D Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	140,578	D	—	—	Common Stock	140,578	I
Series E Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	1,206	D	—	—	Common Stock	1,206	I
Series E Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	147,322	D	—	—	Common Stock	147,322	I
Series E Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	150,528	D	—	—	Common Stock	150,528	I
Series F Convertible Preferred Stock^F4,F3	—	Oct 16, 2018	C	45,454	D	—	—	Common Stock	45,454	I

F1The total represents shares received upon conversion of shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and/or Series F Convertible Preferred Stock.
F2The shares are held by Standish H. O'Grady and Anne Brophy O'Grady, Trustees of The O'Grady Revocable Trust, dated January 3, 2014.
F3The reported security is directly held by Granite Management II, LLC is the general partner of Granite Ventures II, L.P. and Granite Ventures Entrepreneurs Fund II, L.P. Granite Ventures, LLC is the general partner of GV Anaplan SPV, L.P. Standish O'Grady, a member of our board of directors, Jacqueline Berterretche and Christopher McKay are managing directors of the general partner entities of these funds that directly hold shares and as such Mr. O'Grady, Ms. Berterreche and Mr. McKay may be deemed to have voting and investment power with respect to such shares. These individuals disclaim beneficial ownership of the shares held by the aforementioned entities except to the extent of any pecuniary interest therein.
F4The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.