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Asana, Inc. — Director's Dealing 2020
Sep 23, 2020
31323_dirs_2020-09-23_82c746c6-88e8-4a46-a28e-d83434e4edb6.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Asana, Inc. (ASAN)
CIK: 0001477720
Period of Report: 2020-09-21
Reporting Person: Moskovitz Dustin A. (Director, President, CEO, & Chair, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-09-21 | Existing Class B Common Stock | $ | J | 22395830 | Disposed | Class A Common Stock (22395830) | Direct | |
| 2020-09-21 | Class B Common Stock | $ | J | 22395830 | Acquired | Class A Common Stock (22395830) | Direct | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 1743910 | Disposed | Class A Common Stock (1743910) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 1743910 | Acquired | Class A Common Stock (1743910) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 2604170 | Disposed | Class A Common Stock (2604170) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 2604170 | Acquired | Class A Common Stock (2604170) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 460000 | Disposed | Class A Common Stock (460000) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 460000 | Acquired | Class A Common Stock (460000) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 1229256 | Disposed | Class A Common Stock (1229256) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 1229256 | Acquired | Class A Common Stock (1229256) | Indirect | |
| 2020-09-21 | Series C Preferred Stock | $ | C | 18198935 | Disposed | Existing Class B Common Stock (18198935) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | C | 18198935 | Acquired | Class A Common Stock (18198935) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 18198935 | Disposed | Class A Common Stock (18198935) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 18198935 | Acquired | Class A Common Stock (18198935) | Indirect | |
| 2020-09-21 | Series C Preferred Stock | $ | C | 23440 | Disposed | Existing Class B Common Stock (23440) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | C | 23440 | Acquired | Class A Common Stock (23440) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 23440 | Disposed | Class A Common Stock (23440) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 23440 | Acquired | Class A Common Stock (23440) | Indirect | |
| 2020-09-21 | Series D Preferred Stock | $ | C | 7090415 | Disposed | Existing Class B Common Stock (7090415) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | C | 7090415 | Acquired | Class A Common Stock (7090415) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 7090415 | Disposed | Class A Common Stock (7090415) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 7090415 | Acquired | Class A Common Stock (7090415) | Indirect | |
| 2020-09-21 | Series D Preferred Stock | $ | C | 19138 | Disposed | Existing Class B Common Stock (19138) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | C | 19138 | Acquired | Class A Common Stock (19138) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 19138 | Disposed | Class A Common Stock (19138) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 19138 | Acquired | Class A Common Stock (19138) | Indirect | |
| 2020-09-21 | Series E Preferred Stock | $ | C | 855076 | Disposed | Existing Class B Common Stock (855076) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | C | 855076 | Acquired | Class A Common Stock (855076) | Indirect | |
| 2020-09-21 | Existing Class B Common Stock | $ | J | 855076 | Disposed | Class A Common Stock (855076) | Indirect | |
| 2020-09-21 | Class B Common Stock | $ | J | 855076 | Acquired | Class A Common Stock (855076) | Indirect |
Footnotes
F1: Upon filing of the Issuer's Restated Certificate of Incorporation (Restated Charter) in connection with the Issuer's direct listing, each share of the Issuer's existing Class B Common Stock (Existing Class B Common Stock) was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
F2: Each share of Class B Common Stock is convertible into one share of Class A Common Stock upon the option of the holder and has no expiration date.
F3: The shares are held of record by Dustin A. Moskovitz TTEE Dustin A. Moskovitz Trust DTD 12/27/05.
F4: The shares are held of record by Dustin Moskovitz Roth IRA.
F5: The shares are held of record by Justin Rosenstein Trust. Dustin Moskovitz is the trustee of the Justin Rosenstein Trust and may be deemed to have voting power and dispositive power over the shares held by the trust.
F6: The shares are held of record by Justin Rosenstein Trust 2. Dustin Moskovitz is the trustee of the Justin Rosenstein Trust 2 and may be deemed to have voting power and dispositive power over the shares held by the trust.
F7: The Series C Preferred Stock converted into Existing Class B Common Stock on a 1:1 basis upon filing of the Restated Charter in connection with the Issuer's direct listing and had no expiration date.
F8: The shares are held of record by Moskovitz Investment Holdings, LLC. Dustin Moskovitz, Adam Moskovitz, and Richard Druckman, the managing members of Moskovitz Investment Holdings, LLC, have shared voting and dispositive power with respect to these shares.
F9: The Series D Preferred Stock converted into Existing Class B Common Stock on a 1:1 basis upon filing of the Restated Charter in connection with the Issuer's direct listing and had no expiration date.
F10: The Series E Preferred Stock converted into Existing Class B Common Stock on a 1:1 basis upon filing of the Restated Charter in connection with the Issuer's direct listing and had no expiration date.