0001209191-21-045017.txt : 20210702 0001209191-21-045017.hdr.sgml : 20210702 20210702164636 ACCESSION NUMBER: 0001209191-21-045017 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210702 DATE AS OF CHANGE: 20210702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moskovitz Dustin A. CENTRAL INDEX KEY: 0001549917 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39495 FILM NUMBER: 211070904 MAIL ADDRESS: STREET 1: P.O. BOX 2929 CITY: SAN FRANCISCO STATE: CA ZIP: 94126 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Asana, Inc. CENTRAL INDEX KEY: 0001477720 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 263912448 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 BUSINESS ADDRESS: STREET 1: 1550 BRYANT STREET, SUITE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: (415) 525-3888 MAIL ADDRESS: STREET 1: 1550 BRYANT STREET, SUITE 800 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-06-30 0 0001477720 Asana, Inc. ASAN 0001549917 Moskovitz Dustin A. C/O ASANA, INC. 1550 BRYANT STREET, SUITE 200 SAN FRANCISCO CA 94103 1 1 1 0 President, CEO, & Chair Class A Common Stock 2021-06-30 4 P 0 60436 62.85 A 3850436 D Class A Common Stock 2021-06-30 4 P 0 99564 63.63 A 3950000 D Class A Common Stock 4147046 I See footnote Senior Mandatory Convertible Promissory Note 31.58 2021-07-01 4 C 0 11282390 0.00 D 2025-01-30 Class B Common Stock 11282390 0 I See footnote Class B Common Stock 2021-07-01 4 C 0 11282390 0.00 A Class A Common Stock 11282390 36300323 I See footnote Senior Mandatory Convertible Promissory Note 31.09 2021-07-01 4 C 0 5730432 0.00 D 2025-06-26 Class B Common Stock 5730432 0 I See footnote Class B Common Stock 2021-07-01 4 C 0 5730432 0.00 A Class A Common Stock 5730432 42030755 I See footnote Class B Common Stock Class A Common Stock 21395830 21395830 D Class B Common Stock Class A Common Stock 2604170 2604170 I See footnote Class B Common Stock Class A Common Stock 460000 460000 I See footnote Class B Common Stock Class A Common Stock 1229256 1229256 I See footnote The purchases reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $62.29 to $63.28 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $63.29 to $64.00 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The shares are held of record by Dustin A. Moskovitz TTEE Dustin A. Moskovitz Trust DTD 12/27/05. The January Convertible Note had a principal amount of $300,000,000, a maturity date of January 30, 2025, and accrued interest at a rate of 3.5% per annum, compounded annually. The principal amount and all accrued interest through scheduled maturity converted prior to maturity upon the option of the Issuer into shares of Class B Common Stock at the initial conversion price of $31.58 per share. Each share of Class B Common Stock is convertible into one share of Class A Common Stock upon the option of the holder and has no expiration date. The June Convertible Note had a principal amount of $150,000,000, a maturity date of June 26, 2025, and accrued interest at a rate of 3.5% per annum, compounded annually. The principal amount and all accrued interest through scheduled maturity converted prior to maturity upon the option of the Issuer into shares of Class B Common Stock at the initial conversion price of $31.09 per share. The shares are held of record by Dustin Moskovitz Roth IRA. The shares are held of record by Justin Rosenstein Trust. Dustin Moskovitz is the trustee of the Justin Rosenstein Trust and may be deemed to have voting power and dispositive power over the shares held by the trust. The shares are held of record by Justin Rosenstein Trust 2. Dustin Moskovitz is the trustee of the Justin Rosenstein Trust 2 and may be deemed to have voting power and dispositive power over the shares held by the trust. /s/ Katie Colendich, Attorney-in-Fact 2021-07-02