Matheos Mark's Form 4 filing
Appian Corp (APPN) · filed May 11, 2022
- Accession no.
- 0001441683-22-000053
- Filed
- May 11, 2022
- Trade date
- May 10, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 5 derivative transactions. Open-market sales total $284.6K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Matheos MarkCIK 0001903675 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 10, 2022 | Class A Common Stock | MOption exerciseAcquired | +961 | $0.00F1 | $0 | 961 | Direct | |
| May 10, 2022 | Class A Common Stock | SSaleDisposed | −260 | $54.47F2 | −$14,162.2 | 701 | Direct | |
| May 10, 2022 | Class A Common Stock | SSaleDisposed | −701 | $56.00 | −$39,256 | 0 | Direct | |
| May 10, 2022 | Class A Common Stock | CConversionAcquired | +4,020 | $0.00F3,F4 | $0 | 4,020 | Direct | |
| May 10, 2022 | Class A Common Stock | SSaleDisposed | −4,020 | $57.50 | −$231,150 | 0 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 10, 2022 | Class A Common Stock | MOption exerciseDisposed | −941 | $0.00 | $0 | 2,823 | Direct | |
| May 10, 2022 | Class A Common Stock | MOption exerciseDisposed | −20 | $0.00 | $0 | 20 | Direct | |
| May 10, 2022 | Class B Common Stock | MOption exerciseDisposed | −4,020 | $0.00 | $0 | 0 | Direct | |
| May 10, 2022 | Class A Common Stock | MOption exerciseAcquired | +4,020 | $12.00 | +$48,240 | 4,020 | Direct | |
| May 10, 2022 | Class A Common Stock | CConversionDisposed | −4,020 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Each Restricted Stock Unit ("RSU") converts into Class A Common Stock on a one-for-one basis.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.27 to $54.47, inclusive. The Reporting Person undertakes to provide to Appian Corporation, any security holder of Appian Corporation, 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 set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (4))
Referenced by the price of 1 transaction in Table I.
- F4
(continued from Footnote (3)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.
Referenced by the price of 1 transaction in Table I.