Sec Form 4 Filing - MORTON DAVID H JR @ Anaplan, Inc. - 2020-09-10

Insider filing report for Changes in Beneficial Ownership
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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
MORTON DAVID H JR
2. Issuer Name and Ticker or Trading Symbol
Anaplan, Inc. [ PLAN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Financial Officer
(Last) (First) (Middle)
50 HAWTHORNE STREET
3. Date of Earliest Transaction (MM/DD/YY)
09/10/2020
(Street)
SAN FRANCISCO, CA94105
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ 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 09/10/2020 M 59,375 ( 1 ) A 89,995 D
Common Stock 09/11/2020 S 29,587 ( 2 ) D $ 55.76 60,408 D
Common Stock 09/11/2020 S 763 ( 2 ) D $ 57.1 ( 3 ) 59,645 D
Common Stock 09/10/2020 M 3,664 ( 4 ) A 63,309 D
Common Stock 09/11/2020 S 1,826 ( 2 ) D $ 55.76 61,483 D
Common Stock 09/11/2020 S 47 ( 2 ) D $ 57.131 61,436 D
Common Stock 09/10/2020 M 2,861 ( 5 ) A 64,297 D
Common Stock 09/11/2020 S 1,426 ( 2 ) D $ 55.76 62,871 D
Common Stock 09/11/2020 S 37 D $ 57.07 62,834 D
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
Restricted Stock Units ( 1 ) 09/10/2020 M 59,375 ( 1 ) ( 1 ) Common Stock 59,375 $ 0 475,000 D
Restricted Stock Units ( 4 ) 09/10/2020 M 3,664 ( 4 ) ( 4 ) Common Stock 3,664 $ 0 40,304 D
Restricted Stock Units ( 5 ) 09/10/2020 M 2,861 ( 5 ) ( 5 ) Common Stock 2,861 $ 0 40,047 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
MORTON DAVID H JR
50 HAWTHORNE STREET
SAN FRANCISCO, CA94105
Chief Financial Officer
Signatures
/s/ Gary Spiegel, Attorney-in-Fact 09/14/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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 first vested on September 10, 2019, and additional RSUs will vest quarterly 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.
( 2 )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. 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.
( 3 )The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices within the range of $57.0701 to $57.17, 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.
( 4 )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 first vested on December 10, 2019, and additional RSUs will vest quarterly 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.
( 5 )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.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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