Annual Statement of Changes in Beneficial Ownership (5)
January 29 2021 - 5:06PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL 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
*
McClain Mark D. | 2. Issuer Name and Ticker or Trading SymbolSailpoint Technologies Holdings, Inc. [SAIL] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO and President |
(Last)
(First)
(Middle)
11120 FOUR POINTS DRIVE,, SUITE 100 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
AUSTIN, TX 78726
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 12/22/2020 | | G (1) | 18000 | D | $0.00 | 1107381 | D | |
Common Stock | 12/22/2020 | | G (1) | 18000 | D | $0.00 | 1089381 | D | |
Common Stock | 12/22/2020 | | G (1) | 18000 | D | $0.00 | 1071381 | D | |
Common Stock | 12/22/2020 | | G (1) | 18000 | A | $0.00 | 42000 | I | By McClain RHD 2015 Trust (2) |
Common Stock | 12/22/2020 | | G (1) | 18000 | A | $0.00 | 42000 | I | By McClain ADM 2015 Trust (2) |
Common Stock | 12/22/2020 | | G (1) | 18000 | A | $0.00 | 42000 | I | By McClain GMM 2015 Trust (2) |
Common Stock | | | | | | | 570994 | I | By McClain Charitable Remainder Unitrust (3) |
Table II - Derivative Securities Acquired, Disposed of, or 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On December 22, 2020, Mr. McClain gifted 18,000 shares to each of the McClain RHD 2015 Trust (the "RHD Trust"), the McClain ADM 2015 Trust (the "ADM Trust") and the McClain GMM 2015 Trust (the "GMM Trust", and together with the RHD Trust and the ADM Trust, the "Family Trusts"). |
(2) | Mr. McClain is a co-trustee for each of the Family Trusts. The beneficiary of each of the Family Trusts is an immediate family member of Mr. McClain's. As such, Mr. McClain may be deemed to beneficially own all of the shares held by the Family Trusts; however, Mr. McClain disclaims beneficial ownership of the shares held by the Family Trusts except to the extent of his pecuniary interest therein. |
(3) | Mr. McClain is a co-trustee for the McClain Charitable Remainder Unitrust (the "Unitrust"), and he shares investment control over, and may be deemed to have a pecuniary interest in, the shares held by the Unitrust. As such, Mr. McClain may be deemed to beneficially own all of the shares held by the Unitrust; however, Mr. McClain disclaims beneficial ownership of the shares held by the Unitrust except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
McClain Mark D. 11120 FOUR POINTS DRIVE, SUITE 100 AUSTIN, TX 78726 | X |
| CEO and President |
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Signatures
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/s/ Christopher G. Schmitt, attorney-in-fact | | 1/29/2021 |
**Signature of Reporting Person | Date |
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