0001213900-23-023684.txt : 20230328 0001213900-23-023684.hdr.sgml : 20230328 20230328160732 ACCESSION NUMBER: 0001213900-23-023684 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230328 FILED AS OF DATE: 20230328 DATE AS OF CHANGE: 20230328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Taddeo Leo CENTRAL INDEX KEY: 0001875622 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52776 FILM NUMBER: 23769583 MAIL ADDRESS: STREET 1: C/O CYXTERA TECHNOLOGIES, INC. STREET 2: 2333 PONCE DE LEON, SUITE 900 CITY: CORAL CABLES STATE: FL ZIP: 33134 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Appgate, Inc. CENTRAL INDEX KEY: 0001353538 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 203547231 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2 ALHAMBRA PLAZA, SUITE PH-1-B CITY: CORAL GABLES STATE: FL ZIP: 33134 BUSINESS PHONE: 866-524-4782 MAIL ADDRESS: STREET 1: 2 ALHAMBRA PLAZA, SUITE PH-1-B CITY: CORAL GABLES STATE: FL ZIP: 33134 FORMER COMPANY: FORMER CONFORMED NAME: NEWTOWN LANE MARKETING INC DATE OF NAME CHANGE: 20060215 4 1 ownership.xml X0407 4 2023-03-28 0 0001353538 Appgate, Inc. APGT 0001875622 Taddeo Leo 2 ALHAMBRA PLAZA, SUITE PH-1-B CORAL GABLES FL 33134 1 1 0 0 CEO and President 0 Restricted Stock Units 2023-03-28 4 A 0 1000000 0 A Common Stock 1000000 1000000 D Each restricted stock unit represents a contingent right to receive one share of Appgate, Inc. common stock. The restricted stock units vest as follows: 25% on January 1, 2023 and 6.25% on the first day of each calendar quarter starting on April 1, 2023. In each case, vesting will not be effective until the earliest to occur of (a) the listing of Appgate's common stock on either the NASDAQ or NYSE and (b) a Change in Control as defined in the Appgate, Inc. 2021 Incentive Compensation Plan (the "Vesting Event"). In the event the Vesting Event does not occur within three (3) years of March 28, 2023, the restricted stock units shall be forfeited immediately following such three (3) year period. Subject to the immediately preceding sentence, any restricted stock units that would have otherwise vested prior to the Vesting Event, but did not vest because the Vesting Event had not occurred as of such time, shall immediately be vested on the date of the Vesting Event (and the date of such Vesting Event shall be deemed the vesting date for such restricted stock units) regardless of whether Mr. Taddeo was in continuous service with Appgate as of the date of the Vesting Event. /s/ Jeremy M. Dale, Attorney-in-Fact 2023-03-28