Statement of Changes in Beneficial Ownership (4)
July 22 2021 - 5:10PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Mehta Vikas D |
2. Issuer Name and Ticker or Trading Symbol
Anaplan, Inc.
[
PLAN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O ANAPLAN, INC., 50 HAWTHORNE STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/19/2021 |
(Street)
SAN FRANCISCO, CA 94105
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 7/19/2021 | | A | | 21911 | | (1) | (1) | Common Stock | 21911.0 | $0 | 21911 | D | |
Restricted Stock Units | (2) | 7/19/2021 | | A | | 182590 | | (2) | (2) | Common Stock | 182590.0 | $0 | 182590 | D | |
Performance Stock Units | (3) | 7/19/2021 | | A | | 91295 | | (3) | (3) | Common Stock | 91295.0 | $0 | 91295 | D | |
Explanation of Responses: |
(1) | The Reporting Person was granted restricted stock units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest on December 10, 2021, provided that the Reporting Person remains in continuous service through such vesting date. Unless otherwise provided, on the vesting date shares of Common Stock will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. |
(2) | The Reporting Person was granted RSUs which represent a contingent right to receive one share of Common Stock for each RSU. The RSUs vest over 3 years with seven thirty-sixths of the RSUs vesting on March 10, 2022, and the remainder vesting in 10 equal quarterly installments, 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. |
(3) | Each Performance Stock Unit converts into common stock on a one-for-one basis. The Performance Stock Units will vest dependent upon achievement of both performance-based and service-based conditions. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mehta Vikas D C/O ANAPLAN, INC. 50 HAWTHORNE STREET SAN FRANCISCO, CA 94105 |
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| Chief Financial Officer |
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Signatures
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/s/ Gary Spiegel, Attorney-in-Fact | | 7/22/2021 |
**Signature of Reporting Person | Date |
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