SEC Form 4 · accession 0000899243-18-026973
Anaplan, Inc. · PLAN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
GRANITE VENTURES LLC
10% Owner
Granite Ventures II L P
10% Owner
GV Anaplan SPV, L.P.
10% Owner
Jacqueline Berterretche
10% Owner
Granite Management II, LLC
10% Owner
Christopher McKay
10% Owner
Period of report
Oct 16, 2018
Accepted (ET)
Oct 18, 2018 · 5:09 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 StockF1,F3,F2 | Oct 16, 2018 | C | 99,025 | — | A | 99,947 | I | By Granite Ventures Entrepreneurs Fund II, L.P. |
| Common StockF1,F3,F2 | Oct 16, 2018 | C | 12,237,847 | — | A | 12,351,794 | I | By Granite Ventures II, L.P. |
| Common StockF1,F3,F2 | Oct 16, 2018 | C | 223,246 | — | A | 250,036 | I | By GV Anaplan SPV, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 282 | D | — | — | Common Stock | 282 | 0 | I |
| Series A Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 34,850 | D | — | — | Common Stock | 34,850 | 0 | I |
| Series A Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 27,264 | D | — | — | Common Stock | 27,264 | 0 | I |
| Series B Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 72,071 | D | — | — | Common Stock | 72,071 | 0 | I |
| Series B Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 8,804,194 | D | — | — | Common Stock | 8,804,194 | 0 | I |
| Series C Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 25,466 | D | — | — | Common Stock | 25,466 | 0 | I |
| Series C Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 3,110,903 | D | — | — | Common Stock | 3,110,903 | 0 | I |
| Series D Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 140,578 | D | — | — | Common Stock | 140,578 | 0 | I |
| Series E Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 1,206 | D | — | — | Common Stock | 1,206 | 0 | I |
| Series E Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 147,322 | D | — | — | Common Stock | 147,322 | 0 | I |
| Series E Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 150,528 | D | — | — | Common Stock | 150,528 | 0 | I |
| Series F Convertible Preferred StockF3,F1 | — | Oct 16, 2018 | C | 45,454 | D | — | — | Common Stock | 45,454 | 0 | I |
Explanation of responses
- 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 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.
- F3The 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.