Filing Details
- Accession Number:
- 0000899243-18-026968
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-18 17:04:51
- Reporting Period:
- 2018-10-16
- Accepted Time:
- 2018-10-18 17:04:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1540755 | Anaplan Inc. | PLAN | Services-Prepackaged Software (7372) | 270897861 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1753516 | Sandesh Kaveripatnam | C/O Anaplan, Inc. 50 Hawthorne Street San Francisco CA 94105 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-10-16 | 35,806 | $0.00 | 194,305 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2018-10-16 | 29,411 | $17.00 | 223,716 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2018-10-16 | 6,461,625 | $0.00 | 7,781,812 | No | 4 | C | Indirect | By Napean Trading and Investment Company (Singapore) Pte. LTD |
| Common Stock | Acquisiton | 2018-10-16 | 1,075,588 | $17.00 | 8,857,500 | No | 4 | P | Indirect | By Napean Trading and Investment Company (Singapore) Pte. LTD |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct | |
| No | 4 | C | Indirect | By Napean Trading and Investment Company (Singapore) Pte. LTD |
| No | 4 | P | Indirect | By Napean Trading and Investment Company (Singapore) Pte. LTD |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2018-10-16 | 35,806 | $0.00 | 35,806 | $0.00 |
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2018-10-16 | 327,168 | $0.00 | 327,168 | $0.00 |
| Common Stock | Series E Convertible Preferred Stock | Disposition | 2018-10-16 | 3,861,730 | $0.00 | 3,861,730 | $0.00 |
| Common Stock | Series F Convertible Preferred Stock | Disposition | 2018-10-16 | 2,272,727 | $0.00 | 2,272,727 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The total represents shares received upon conversion of shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series E Convertible Preferred Stock and Series F Convertible Preferred Stock.
- Represents shares purchased in a private placement that closed concurrently with the Issuer's initial public offering.
- Napean Trading and Investment Co (Singapore) Pte. Ltd. is an entity affiliated with Premji Invest. Sandesh Kaveripatnam is a member of our board of directors and is a partner of Napean Trading and Investment Co (Singapore) Pte. Ltd and as such Mr. Kaveripatnam may be deemed to have voting and investment power with respect to such shares. Mr. Kaveripatnam disclaims beneficial ownership of the shares held by the aforementioned entity except to the extent of any pecuniary interest therein.
- The 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.
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