Calderoni Frank's Form 4 filing
Anaplan, Inc. (PLAN) · filed Dec 14, 2021
- Accession no.
- 0001540755-21-000076
- Filed
- Dec 14, 2021
- Trade date
- Dec 10-13, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 10 non-derivative transactions and 4 derivative transactions. Open-market sales total $3.07M. It was filed 4 days 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 |
|---|---|
| Calderoni FrankCIK 0001249051 | Director, Officer (Chairman and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | SSaleDisposed | −22,396 | $46.24F2 | −$1,035,591.04 | 539,063 | Indirect | |
| Dec 10, 2021 | Common Stock | SSaleDisposed | −7,604 | $47.06F4 | −$357,844.24 | 531,459 | Indirect | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +51,113 | –F5 | – | 728,848 | Direct | |
| Dec 13, 2021 | Common Stock | SSaleDisposed | −25,681 | $45.26 | −$1,162,322.06 | 703,167 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +9,760 | –F7 | – | 712,927 | Direct | |
| Dec 13, 2021 | Common Stock | SSaleDisposed | −4,904 | $45.26 | −$221,955.04 | 708,023 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +8,361 | –F8 | – | 716,384 | Direct | |
| Dec 13, 2021 | Common Stock | SSaleDisposed | −4,201 | $45.26 | −$190,137.26 | 712,183 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseAcquired | +4,327 | –F9 | – | 716,510 | Direct | |
| Dec 13, 2021 | Common Stock | SSaleDisposed | −2,175 | $45.26 | −$98,440.5 | 714,335 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −51,113 | $0.00 | $0 | 153,337 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −9,760 | $0.00 | $0 | 58,557 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −8,361 | $0.00 | $0 | 75,254 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −4,327 | $0.00 | $0 | 56,253 | 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.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $45.77 to $46.76, 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.
Referenced by the price of 1 transaction in Table I.
- 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 $46.77 to $47.38, 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.
Referenced by the price of 1 transaction in Table I.
- F5
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.
Referenced by the price of 1 transaction in Table I.
- F7
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.
Referenced by the price of 1 transaction in Table I.
- F8
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.
Referenced by the price of 1 transaction in Table I.
- F9
The Reporting Person was granted restricted stock units ("RSUs") which represent a contingent right to receive one share of Common Stock foreach RSU. The RSUs vest quarterly over 4 years with the first vest date on June 10, 2021, provided that the Reporting Person remains incontinuous service on each vesting date. Unless otherwise provided, on each vesting date shares of Common Stock will automatically be sold tosatisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction.
Referenced by the price of 1 transaction in Table I.