Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-19-057858
Date:2019-11-20
Issuer: ANAPLAN, INC. (PLAN)
Original Submission Date:

Reporting Person:

CALDERONI FRANK
C/O ANAPLAN, INC.
50 HAWTHORNE STREET SAN FRANCISCO, CA 94105

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-11-20 M 101,562 a $0.00 1,136,118 direct
COMMON STOCK 2019-11-21 S 50,025 d $55.00 1,086,093 direct
COMMON STOCK 2019-11-21 S 40,800 d $54.83 453,596 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2019-11-20 deemed execution date M 101,562 (d) common stock 101,562 $0.00 1,421,875 direct
Footnotes
IDfootnote
f1 the reporting person was granted restricted stock units ("rsus") which represent a contingent right to receive one share of common stock for each rsu. 25% of the rsus vested on january 20, 2018 with the remainder vesting in 36 equal monthly installments thereafter provided that the reporting person remains in continuous service on each vesting date.
f2 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 on november 20, 2019. 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.
f3 this sale was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices within the range of $54.64 to $55.04, 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.
f5 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.
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