0001540755-21-000051.txt : 20210914 0001540755-21-000051.hdr.sgml : 20210914 20210914214600 ACCESSION NUMBER: 0001540755-21-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210907 FILED AS OF DATE: 20210914 DATE AS OF CHANGE: 20210914 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: 211254037 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 wf-form4_163167033849443.xml FORM 4 X0306 4 2021-09-07 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 2021-09-07 5 G 0 E 696459 0 D 641462 D Common Stock 2021-09-07 5 G 0 E 696459 0 A 696459 I By Trust Common Stock 2021-09-10 4 S 0 41198 65.7481 D 655261 I By Trust Common Stock 2021-09-10 4 S 0 3802 66.5539 D 651459 I By Trust Common Stock 2021-09-10 4 M 0 51112 A 692574 D Common Stock 2021-09-14 4 S 0 25907 64.9425 D 666667 D Common Stock 2021-09-10 4 M 0 9759 A 676426 D Common Stock 2021-09-14 4 S 0 4947 64.9425 D 671479 D Common Stock 2021-09-10 4 M 0 8362 A 679841 D Common Stock 2021-09-14 4 S 0 4239 64.9425 D 675602 D Common Stock 2021-09-10 4 M 0 4327 A 679929 D Common Stock 2021-09-14 4 S 0 2194 64.9425 D 677735 D Restricted Stock Units 2021-09-10 4 M 0 51112 0 D Common Stock 51112.0 204450 D Restricted Stock Units 2021-09-10 4 M 0 9759 0 D Common Stock 9759.0 68317 D Restricted Stock Units 2021-09-10 4 M 0 8362 0 D Common Stock 8362.0 83615 D Restricted Stock Units 2021-09-10 4 M 0 4327 0 D Common Stock 4327.0 60580 D On September 7, 2021, the reporting person gifted 696,459 directly owned shares of common stock to 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 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. 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 $65.19 to $66.18, 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 $66.19 to $66.80, 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 Reporting Person was granted restricted stock units ("RSUs") which represent a contingent right to receive one share of Common Stock for each RSU. 50% of the RSUs vested on September 10, 2020, with the remainder vesting in equal quarterly installments thereafter 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. 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 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 June 10, 2020, 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 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 June 10, 2021, 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. /s/ Gary Spiegel, Attorney-in-Fact 2021-09-14