Statement of Changes in Beneficial Ownership (4)
November 10 2020 - 4:11PM
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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3235-0287
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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
*
Lynch Mark Steven |
2. Issuer Name and Ticker or Trading Symbol
APPIAN CORP
[
APPN
]
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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 APPIAN CORPORATION, 7950 JONES BRANCH DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/6/2020 |
(Street)
MCLEAN, VA 22102
(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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Class A Common Stock | 11/6/2020 | | M | | 14598 | A | $0 (1) | 19998 | D | |
Class A Common Stock | 11/6/2020 | | S(2) | | 1016 | D | $79.79 (3) | 18982 | D | |
Class A Common Stock | 11/6/2020 | | S(2) | | 1600 | D | $80.97 (4) | 17382 | D | |
Class A Common Stock | 11/6/2020 | | S(2) | | 1529 | D | $82.14 (5) | 15853 | D | |
Class A Common Stock | 11/6/2020 | | S(2) | | 42 | D | $84.50 | 15811 | D | |
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 Unit | (6) | 11/6/2020 | | M | | | 10000 | (7) | (7) | Class A Common Stock | 10000.0 | $0 | 20000 | D | |
Restricted Stock Unit | (6) | 11/6/2020 | | M | | | 4522 | (8) | (8) | Class A Common Stock | 4522.0 | $0 | 18088 | D | |
Restricted Stock Unit | (6) | 11/6/2020 | | M | | | 76 | (9) | (9) | Class A Common Stock | 76.0 | $0 | 228 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit ("RSU") converts into Class A Common Stock on a one-for-one basis. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 15, 2019. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.53 to $80.51, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (3) - (5). |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.53 to $81.46, inclusive. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.65 to $82.49, inclusive. |
(6) | Each RSU represents a contingent right to receive one share of Issuer's Class A Common Stock (or its cash equivalent, at the discretion of the Issuer). |
(7) | The RSUs were granted on October 25, 2017 and vest in five (5) equal annual installments commencing on November 5, 2018, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date. |
(8) | The RSUs were granted on October 29, 2019 and vest in five (5) equal annual installments commencing on November 5, 2020, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date. |
(9) | The RSUs were granted on October 19, 2018, and vest in five (5) equal annual installments commencing on November 5, 2019, provided that the Reporting Person has provided continuous service to the Issuer through the vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lynch Mark Steven C/O APPIAN CORPORATION 7950 JONES BRANCH DRIVE MCLEAN, VA 22102 |
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| Chief Financial Officer |
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Signatures
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/s/ Angela Patterson, Attorney-in-Fact | | 11/10/2020 |
**Signature of Reporting Person | Date |
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