Sec Form 4 Filing - CALDERONI FRANK @ Anaplan, Inc. - 2021-12-10

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
CALDERONI FRANK
2. Issuer Name and Ticker or Trading Symbol
Anaplan, Inc. [ PLAN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chairman and CEO
(Last) (First) (Middle)
C/O ANAPLAN, INC., 50 HAWTHORNE STREET
3. Date of Earliest Transaction (MM/DD/YY)
12/10/2021
(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 12/10/2021 S( 1 ) 22,396 D $ 46.2368( 2 ) 539,063 I By Trust( 3 )
Common Stock 12/10/2021 S( 1 ) 7,604 D $ 47.0626( 4 ) 531,459 I By Trust( 3 )
Common Stock 12/10/2021 M 51,113( 5 ) A 728,848 D
Common Stock 12/13/2021 S 25,681( 6 ) D $ 45.255 703,167 D
Common Stock 12/10/2021 M 9,760( 7 ) A 712,927 D
Common Stock 12/13/2021 S 4,904( 6 ) D $ 45.255 708,023 D
Common Stock 12/10/2021 M 8,361( 8 ) A 716,384 D
Common Stock 12/13/2021 S 4,201( 6 ) D $ 45.255 712,183 D
Common Stock 12/10/2021 M 4,327( 9 ) A 716,510 D
Common Stock 12/13/2021 S 2,175( 6 ) D $ 45.2551 714,335 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 ( 5 ) 12/10/2021 M 51,113 ( 5 ) ( 5 ) Common Stock 51,113 $ 0 153,337 D
Restricted Stock Units ( 7 ) 12/10/2021 M 9,760 ( 7 ) ( 7 ) Common Stock 9,760 $ 0 58,557 D
Restricted Stock Units ( 8 ) 12/10/2021 M 8,361 ( 8 ) ( 8 ) Common Stock 8,361 $ 0 75,254 D
Restricted Stock Units ( 9 ) 12/10/2021 M 4,327 ( 9 ) ( 9 ) Common Stock 4,327 $ 0 56,253 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CALDERONI FRANK
C/O ANAPLAN, INC.
50 HAWTHORNE STREET
SAN FRANCISCO, CA94105
X Chairman and CEO
Signatures
/s/ Gary Spiegel, Attorney-in-Fact 12/14/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
( 2 )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.
( 3 )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.
( 4 )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.
( 5 )The Reporting Person was granted restricted stock units ("RSUs") which represent a contingent right to receive one share of Common S tock 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.
( 6 )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.
( 7 )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.
( 8 )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.
( 9 )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.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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