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APPIAN CORP — Director's Dealing 2019
Apr 18, 2019
17838_dirs_2019-04-18_4a0547dd-c11e-4746-a5ad-3db684591913.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: APPIAN CORP (APPN)
CIK: 0001441683
Period of Report: 2019-04-16
Reporting Person: Biddle Albert G.W. III (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-04-16 | Class A Common Stock | C | 300675 | — | Acquired | 306814 | Indirect |
| 2019-04-16 | Class A Common Stock | C | 39479 | — | Acquired | 39479 | Indirect |
| 2019-04-16 | Class A Common Stock | C | 39479 | — | Acquired | 39479 | Indirect |
| 2019-04-16 | Class A Common Stock | C | 39479 | — | Acquired | 39479 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-04-16 | Class B Common Stock | $ | C | 300675 | Disposed | Class A Common Stock (300675.0) | Indirect | |
| 2019-04-16 | Class B Common Stock | $ | C | 39479 | Disposed | Class A Common Stock (39479.0) | Indirect | |
| 2019-04-16 | Class B Common Stock | $ | C | 39479 | Disposed | Class A Common Stock (39479.0) | Indirect | |
| 2019-04-16 | Class B Common Stock | $ | C | 39479 | Disposed | Class A Common Stock (39479.0) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 6088 | Direct |
Footnotes
F1: 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 (2))
F2: (continued from Footnote (1)) (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.
F3: The reported securities are owned directly by Jack Biddle, Inc. ("JBI"). The Reporting Person is the president of JBI.
F4: The reported securities are owned directly by Southgate Partner I ("SPI"), a family trust established for the benefit of the Reporting Person's child. The Reporting Person is the trustee of SPI.
F5: The reported securities are owned directly by Southgate Partner II ("SPII"), a family trust established for the benefit of the Reporting Person's child. The Reporting Person is the trustee of SPII.
F6: The reported securities are owned directly by Southgate Partner III ("SPIII"), a family trust established for the benefit of the Reporting Person's child. The Reporting Person is the trustee of SPIII.