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Filing Details

Accession Number:
0001209191-17-062089
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-21 16:48:09
Reporting Period:
2017-11-20
Accepted Time:
2017-11-21 16:48:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1441683 Appian Corp APPN Services-Prepackaged Software (7372) 541956084
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1559827 Jr. A. Anthony Florence 5425 Wisconsin Avenue
Suite 800
Chevy Chase MD 20815
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2017-11-20 2,820,516 $0.00 2,820,516 No 4 C Indirect See Note 4
Class A Common Stock Disposition 2017-11-20 2,820,516 $19.49 0 No 4 S Indirect See Note 4
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Note 4
No 4 S Indirect See Note 4
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Class B Common Stock Disposition 2017-11-20 2,820,516 $0.00 2,820,516 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,293,822 No 4 C Indirect
Footnotes
  1. Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.
  2. Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has noexpiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1)any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in theIssuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))
  3. (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B commonstockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of theIssuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock,and no additional shares of Class B Common Stock will be issued.
  4. The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.