0000899243-19-023506.txt : 20190912 0000899243-19-023506.hdr.sgml : 20190912 20190912192006 ACCESSION NUMBER: 0000899243-19-023506 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190910 FILED AS OF DATE: 20190912 DATE AS OF CHANGE: 20190912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CALDERONI FRANK CENTRAL INDEX KEY: 0001249051 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38698 FILM NUMBER: 191091314 MAIL ADDRESS: STREET 1: 100 EAST DAVIE STREET CITY: RALEIGH STATE: NC ZIP: 27601 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Anaplan, Inc. CENTRAL INDEX KEY: 0001540755 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 270897861 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 50 HAWTHORNE STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-742-8199 MAIL ADDRESS: STREET 1: 50 HAWTHORNE STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-09-10 0 0001540755 Anaplan, Inc. PLAN 0001249051 CALDERONI FRANK C/O ANAPLAN, INC. 50 HAWTHORNE STREET SAN FRANCISCO CA 94105 1 1 0 0 Chairman and CEO Common Stock 2019-09-10 4 S 0 8479 46.768 D 580117 I By Trust Common Stock 2019-09-10 4 S 0 5821 47.4229 D 574296 I By Trust Common Stock 2019-09-10 4 S 0 700 48.2571 D 573596 I By Trust Common Stock 2019-09-12 4 S 0 15000 49.0548 D 558596 I By Trust Common Stock 2019-09-10 4 M 0 9759 A 935474 D Common Stock 2019-09-12 4 S 0 3507 48.30 D 931967 D Restricted Stock Units 2019-09-10 4 M 0 9759 0.00 D Common Stock 9759 146393 D This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $46.09 to $47.07, inclusive. The Reporting Person undertakes to provide to 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(s) set forth in this footnote of this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $47.12 to $48.09, inclusive. The Reporting Person undertakes to provide to 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(s) set forth in this footnote of this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $48.13 to $48.54, inclusive. The Reporting Person undertakes to provide to 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(s) set forth in this footnote of this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $49.00 to $49.32, inclusive. The Reporting Person undertakes to provide to 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(s) set forth in this footnote of this Form 4. The shares are held by the Frank Calderoni & Brenda Zawatski Living Trust U/A/D 3/11/05, of which the Reporting Person and his wife are trustees and beneficiaries. 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 quarterly over 4 years with the first vest date on September 10, 2019, 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. The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person. /s/ Suhani Akhare, Attorney-in-Fact 2019-09-12