Sec Form 4 Filing - GRANITE VENTURES LLC @ Anaplan, Inc. - 2018-10-16

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
GRANITE VENTURES LLC
2. Issuer Name and Ticker or Trading Symbol
Anaplan, Inc. [ PLAN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
300 MONTGOMERY STREET, SUITE 638
3. Date of Earliest Transaction (MM/DD/YY)
10/16/2018
(Street)
SAN FRANCISCO, CA94104
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/16/2018 C 99,025 ( 1 ) A 99,947 I By Granite Ventures Entrepreneurs Fund II, L.P. ( 2 )
Common Stock 10/16/2018 C 12,237,847 ( 1 ) A 12,351,794 I By Granite Ventures II, L.P. ( 2 )
Common Stock 10/16/2018 C 223,246 ( 1 ) A 250,036 I By GV Anaplan SPV, L.P. ( 2 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock ( 3 ) 10/16/2018 C 282 ( 3 ) ( 3 ) Common Stock 282 ( 3 ) 0 I By Granite Ventures Entrepreneurs Fund II, L.P. ( 1 )
Series A Convertible Preferred Stock ( 3 ) 10/16/2018 C 34,850 ( 3 ) ( 3 ) Common Stock 34,850 ( 3 ) 0 I By Granite Ventures II, L.P. ( 1 )
Series A Convertible Preferred Stock ( 3 ) 10/16/2018 C 27,264 ( 3 ) ( 3 ) Common Stock 27,264 ( 3 ) 0 I By GV Anaplan SPV, L.P. ( 1 )
Series B Convertible Preferred Stock ( 3 ) 10/16/2018 C 72,071 ( 3 ) ( 3 ) Common Stock 72,071 ( 3 ) 0 I By Granite Ventures Entrepreneurs Fund II, L.P. ( 1 )
Series B Convertible Preferred Stock ( 3 ) 10/16/2018 C 8,804,194 ( 3 ) ( 3 ) Common Stock 8,804,194 ( 3 ) 0 I By Granite Ventures II, L.P. ( 1 )
Series C Convertible Preferred Stock ( 3 ) 10/16/2018 C 25,466 ( 3 ) ( 3 ) Common Stock 25,466 ( 3 ) 0 I By Granite Ventures Entrepreneurs Fund II, L.P. ( 1 )
Series C Convertible Preferred Stock ( 3 ) 10/16/2018 C 3,110,903 ( 3 ) ( 3 ) Common Stock 3,110,903 ( 3 ) 0 I By Granite Ventures II, L.P. ( 1 )
Series D Convertible Preferred Stock ( 3 ) 10/16/2018 C 140,578 ( 3 ) ( 3 ) Common Stock 140,578 ( 3 ) 0 I By Granite Ventures II, L.P. ( 1 )
Series E Convertible Preferred Stock ( 3 ) 10/16/2018 C 1,206 ( 3 ) ( 3 ) Common Stock 1,206 ( 3 ) 0 I By Granite Ventures Entrepreneurs Fund II, L.P. ( 1 )
Series E Convertible Preferred Stock ( 3 ) 10/16/2018 C 147,322 ( 3 ) ( 3 ) Common Stock 147,322 ( 3 ) 0 I By Granite Ventures II, L.P. ( 1 )
Series E Convertible Preferred Stock ( 3 ) 10/16/2018 C 150,528 ( 3 ) ( 3 ) Common Stock 150,528 ( 3 ) 0 I By GV Anaplan SPV, L.P. ( 1 )
Series F Convertible Preferred Stock ( 3 ) 10/16/2018 C 45,454 ( 3 ) ( 3 ) Common Stock 45,454 ( 3 ) 0 I By GV Anaplan SPV, L.P. ( 1 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
GRANITE VENTURES LLC
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
Granite Ventures II L P
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
GRANITE VENTURES ENTREPRENEURS FUND II LP
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
GV Anaplan SPV, L.P.
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
Granite Management II, LLC
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
Berterretche Jacqueline
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
McKay Christopher
300 MONTGOMERY STREET, SUITE 638
SAN FRANCISCO, CA94104
X
Signatures
GRANITE MANAGEMENT II, LLC, By Granite Ventures, LLC, Its Managing Member, By /s/ Jacqueline Berterretche, Printed Name: Jacqueline Berterretche, Title: Member 10/18/2018
Signature of Reporting Person Date
GRANITE VENTURES, LLC, By /s/ Jacqueline Berterretche, Printed Name: Jacqueline Berterretche, Title: Member 10/18/2018
Signature of Reporting Person Date
GRANITE VENTURES II, L.P., By Granite Management II, LLC, Its General Partner, By /s/ Jacqueline Berterretche, Printed Name: Jacqueline Berterretche, Title: Member 10/18/2018
Signature of Reporting Person Date
GRANITE VENTURES ENTREPRENEURS FUND II, L.P., By Granite Management II, LLC, Its General Partner, By /s/ Jacqueline Berterretche, Printed Name: Jacqueline Berterretche, Title: Member 10/18/2018
Signature of Reporting Person Date
GV ANAPLAN SPV, L.P., By Granite Ventures, LLC, Its General Partner, By /s/ Jacqueline Berterretche, Printed Name: Jacqueline Berterretche, Title: Member 10/18/2018
Signature of Reporting Person Date
By: /s/ Jacqueline Berterretche 10/18/2018
Signature of Reporting Person Date
By: /s/ Christopher McKay 10/18/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The total represents shares received upon conversion of shares of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock, Series E Convertible Preferred Stock and/or Series F Convertible Preferred Stock.
( 2 )The reported security is directly held by Granite Management II, LLC is the general partner of Granite Ventures II, L.P. and Granite Ventures Entrepreneurs Fund II, L.P. Granite Ventures, LLC is the general partner of GV Anaplan SPV, L.P. Standish O'Grady, a member of our board of directors, Jacqueline Berterretche and Christopher McKay are managing directors of the general partner entities of these funds that directly hold shares and as such Mr. O'Grady, Ms. Berterreche and Mr. McKay may be deemed to have voting and investment power with respect to such shares. These individuals disclaim beneficial ownership of the shares held by the aforementioned entities except to the extent of any pecuniary interest therein.
( 3 )The reported security converted into the Issuer's Common Stock on a 1-for-1 basis automatically immediately prior to the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.

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