Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Houghton Mifflin Harcourt CoHMHC · Entity 128112 | Director | May 31, 2019 | June 04, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Houghton Mifflin Harcourt Co
Report date May 31, 2019 · Filed June 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,989 |
Reported balance
After 2019-05-31 transaction · row 1
1 source rowRow 1 · 2019-05-31 · Exercise / conversion · Acquired 4,942 · Balance 22,989 F1: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-05-31 · Exercise / conversion · Disposed 4,942 · Balance 0 F1: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F2: The shares of phantom stock were settled in exchange for a like amount of shares of the Company's common stock. |
| Phantom StockSEC Table II · derivative / convertible security | Direct | 12,500 |
Reported balance
After 2019-05-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-05-31 · Grant · Acquired 12,500 · Balance 12,500 F1: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F4: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 15,071 |
Reported balance
After 2019-05-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-05-31 · Grant · Acquired 15,071 · Balance 15,071 F1: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F3: This grant of restricted stock units will vest on May 31, 2020, subject to continued service on the Company's board of directors through such vesting date, with settlement of the restricted stock units to be deferred until separation from service after the vesting date, as determined in accordance with the Company's Non-Employee Director Deferred Compensation Plan. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-05-31 · Exercise / conversion · Disposed 12,500 · Balance 0 F1: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F4: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock.
F2: The shares of phantom stock were settled in exchange for a like amount of shares of the Company's common stock.
F3: This grant of restricted stock units will vest on May 31, 2020, subject to continued service on the Company's board of directors through such vesting date, with settlement of the restricted stock units to be deferred until separation from service after the vesting date, as determined in accordance with the Company's Non-Employee Director Deferred Compensation Plan.
F4: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
APPIAN CORP
Report date December 12, 2018 · Filed February 14, 2019 · Amendment
Jointly reported with Novak Biddle Co V, LLC, Novak Biddle Venture Partners V L P
Section 16 reporting ended · disclosed 2019-02-14. Current position is not established by this disclosure.
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,091,751 |
Reported balance
After 2018-12-12 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-12-12 · Conversion · Acquired 1,091,751 · Balance 1,091,751 F1: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2: On December 14, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on December 14, 2018 in its entirety. F3: 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 (4)) F4: (continued from Footnote (3)) (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. F5: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2018-12-12 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2018-12-12 · Other · Disposed 1,091,751 · Balance 0 F6: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F5: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 2,302 |
Reported balance
After 2018-12-12 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2018-12-12 · Other · Acquired 364 · Balance 2,302 F6: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F7: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 767 |
Reported balance
After 2018-12-12 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2018-12-12 · Other · Acquired 121 · Balance 767 F6: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F8: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr. MGD IRA ("IRA"). Mr. Novak has sole voting and dispositive power of these shares. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 226,153 |
Reported balance
After 2018-12-12 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2018-12-12 · Conversion · Acquired 226,153 · Balance 226,153 F1: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F3: 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 (4)) F4: (continued from Footnote (3)) (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. F9: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2018-12-12 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2018-12-12 · Other · Disposed 226,153 · Balance 0 F10: Represents a distribution without additional consideration by NBCV to its members, excluding members affiliated with the Managing Members. F9: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 286,723 |
Reported balance
After 2018-12-12 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2018-12-12 · Conversion · Disposed 1,091,751 · Balance 286,723 F3: 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 (4)) F4: (continued from Footnote (3)) (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. F1: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2: On December 14, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on December 14, 2018 in its entirety. F5: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-12-12 transaction · row 8
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 8 · 2018-12-12 · Other · Disposed 286,723 · Balance 0 F3: 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 (4)) F4: (continued from Footnote (3)) (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. F11: Represents a pro rata distribution without additional consideration by NBVPV to NBCV. F5: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 286,723 |
Reported balance
After 2018-12-12 transaction · row 9
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 9 · 2018-12-12 · Other · Acquired 286,723 · Balance 286,723 F3: 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 (4)) F4: (continued from Footnote (3)) (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. F11: Represents a pro rata distribution without additional consideration by NBVPV to NBCV. F9: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 313,547 |
Reported balance
After 2018-12-12 transaction · row 10
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 10 · 2018-12-12 · Other · Acquired 45,429 · Balance 313,547 F3: 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 (4)) F4: (continued from Footnote (3)) (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. F12: Represents a pro rata distribution without additional consideration from NBCV to members affiliated with the Managing Members. F7: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 104,508 |
Reported balance
After 2018-12-12 transaction · row 11
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 11 · 2018-12-12 · Other · Acquired 15,142 · Balance 104,508 F3: 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 (4)) F4: (continued from Footnote (3)) (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. F12: Represents a pro rata distribution without additional consideration from NBCV to members affiliated with the Managing Members. F8: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr. MGD IRA ("IRA"). Mr. Novak has sole voting and dispositive power of these shares. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2018-12-12 transaction · row 12
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 12 · 2018-12-12 · Conversion · Disposed 226,153 · Balance 0 F3: 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 (4)) F4: (continued from Footnote (3)) (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. F1: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F9: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock.
F2: On December 14, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on December 14, 2018 in its entirety.
F3: 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 (4))
F4: (continued from Footnote (3)) (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.
F5: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein.
F6: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV.
F7: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH.
F8: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr. MGD IRA ("IRA"). Mr. Novak has sole voting and dispositive power of these shares.
F9: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein.
F10: Represents a distribution without additional consideration by NBCV to its members, excluding members affiliated with the Managing Members.
F11: Represents a pro rata distribution without additional consideration by NBVPV to NBCV.
F12: Represents a pro rata distribution without additional consideration from NBCV to members affiliated with the Managing Members.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 31, 2019 Filed Jun 4, 2019 17:49 UTC | Houghton Mifflin Harcourt Co HMHC · Entity 128112 | GrantPhantom Stock · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-19-001279 · es1900765_4-novak.xml · derivative · entry 5 Novak E Rogers JR · CIK 0001292028 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F4 · derivative.exercise_date: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan. F4 · derivative.expiration_date: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 17:49 UTC | Houghton Mifflin Harcourt Co HMHC · Entity 128112 | Exercise / conversionRestricted Stock Units · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-19-001279 · es1900765_4-novak.xml · derivative · entry 4 Novak E Rogers JR · CIK 0001292028 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F4 · derivative.exercise_date: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan. F4 · derivative.expiration_date: Upon the vesting of the restricted stock units granted to the reporting person on May 31, 2018, the reporting person deferred the receipt of 12,500 shares of common stock and received instead 12,500 shares of phantom stock pursuant to the Company's Non-Employee Director Deferred Compensation Plan. The phantom stock becomes payable upon separation from service in accordance with the Company's Non-Employee Director Deferred Compensation Plan. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 17:49 UTC | Houghton Mifflin Harcourt Co HMHC · Entity 128112 | GrantRestricted Stock Units · Derivative | 15,071 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-19-001279 · es1900765_4-novak.xml · derivative · entry 3 Novak E Rogers JR · CIK 0001292028 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,071 Underlying: Common Stock · 15,071 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F3 · derivative.exercise_date: This grant of restricted stock units will vest on May 31, 2020, subject to continued service on the Company's board of directors through such vesting date, with settlement of the restricted stock units to be deferred until separation from service after the vesting date, as determined in accordance with the Company's Non-Employee Director Deferred Compensation Plan. F3 · derivative.expiration_date: This grant of restricted stock units will vest on May 31, 2020, subject to continued service on the Company's board of directors through such vesting date, with settlement of the restricted stock units to be deferred until separation from service after the vesting date, as determined in accordance with the Company's Non-Employee Director Deferred Compensation Plan. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 17:49 UTC | Houghton Mifflin Harcourt Co HMHC · Entity 128112 | Exercise / conversionPhantom Stock · Derivative | 4,942 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-19-001279 · es1900765_4-novak.xml · derivative · entry 2 Novak E Rogers JR · CIK 0001292028 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,942 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. F2 · derivative.exercise_date: The shares of phantom stock were settled in exchange for a like amount of shares of the Company's common stock. F2 · derivative.expiration_date: The shares of phantom stock were settled in exchange for a like amount of shares of the Company's common stock. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 17:49 UTC | Houghton Mifflin Harcourt Co HMHC · Entity 128112 | Exercise / conversionCommon Stock | 4,942 | $0.00 | $0.00 |
DisclosureSEC source: 0000950142-19-001279 · es1900765_4-novak.xml · nonDerivative · entry 1 Novak E Rogers JR · CIK 0001292028 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,989 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit and each share of phantom stock represents a contingent right to receive one share of Houghton Mifflin Harcourt Company's (the "Company") common stock. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 1,240,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · derivative · entry 11 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 143,101 Underlying: Class A Common Stock · 1,240,131 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 15,142 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · derivative · entry 10 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 104,244 Underlying: Class A Common Stock · 15,142 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F9 · ownership.nature: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr MGD IRA. Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 45,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · derivative · entry 9 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 312,754 Underlying: Class A Common Stock · 45,429 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F8 · ownership.nature: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 121,140 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · derivative · entry 8 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 224,376 Underlying: Class A Common Stock · 121,140 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 17,203 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · derivative · entry 7 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 345,516 Underlying: Class A Common Stock · 17,203 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 121 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · nonDerivative · entry 6 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 767 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its partners. F9 · ownership.nature: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr MGD IRA. Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 364 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · nonDerivative · entry 5 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,302 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its partners. F8 · ownership.nature: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 1,240,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · nonDerivative · entry 4 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its partners. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 1,240,131 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · nonDerivative · entry 3 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,240,131 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · price: 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 (3)) F3 · price: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 17,203 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · nonDerivative · entry 2 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:48 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 17,203 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001441683-18-000157 · wf-form4_154482407829413.xml · nonDerivative · entry 1 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 17,203 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · price: 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 (3)) F3 · price: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 226,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · derivative · entry 12 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 226,153 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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 (4)) F4 · derivative.exercise_price: (continued from Footnote (3)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F3 · derivative.exercise_date: 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 (4)) F4 · derivative.exercise_date: (continued from Footnote (3)) (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 · derivative.expiration_date: 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 (4)) F4 · derivative.expiration_date: (continued from Footnote (3)) (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. F9 · ownership.nature: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 15,142 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · derivative · entry 11 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 104,508 Underlying: Class A Common Stock · 15,142 shares Expires not disclosed F3 · derivative.exercise_price: 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 (4)) F4 · derivative.exercise_price: (continued from Footnote (3)) (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. F12 · kind: Represents a pro rata distribution without additional consideration from NBCV to members affiliated with the Managing Members. F3 · derivative.exercise_date: 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 (4)) F4 · derivative.exercise_date: (continued from Footnote (3)) (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 · derivative.expiration_date: 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 (4)) F4 · derivative.expiration_date: (continued from Footnote (3)) (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. F8 · ownership.nature: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr. MGD IRA ("IRA"). Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 45,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · derivative · entry 10 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 313,547 Underlying: Class A Common Stock · 45,429 shares Expires not disclosed F3 · derivative.exercise_price: 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 (4)) F4 · derivative.exercise_price: (continued from Footnote (3)) (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. F12 · kind: Represents a pro rata distribution without additional consideration from NBCV to members affiliated with the Managing Members. F3 · derivative.exercise_date: 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 (4)) F4 · derivative.exercise_date: (continued from Footnote (3)) (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 · derivative.expiration_date: 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 (4)) F4 · derivative.expiration_date: (continued from Footnote (3)) (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. F7 · ownership.nature: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 286,723 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · derivative · entry 9 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 286,723 Underlying: Class A Common Stock · 286,723 shares Expires not disclosed F3 · derivative.exercise_price: 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 (4)) F4 · derivative.exercise_price: (continued from Footnote (3)) (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. F11 · kind: Represents a pro rata distribution without additional consideration by NBVPV to NBCV. F3 · derivative.exercise_date: 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 (4)) F4 · derivative.exercise_date: (continued from Footnote (3)) (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 · derivative.expiration_date: 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 (4)) F4 · derivative.expiration_date: (continued from Footnote (3)) (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. F9 · ownership.nature: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 286,723 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · derivative · entry 8 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 286,723 shares Expires not disclosed F3 · derivative.exercise_price: 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 (4)) F4 · derivative.exercise_price: (continued from Footnote (3)) (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. F11 · kind: Represents a pro rata distribution without additional consideration by NBVPV to NBCV. F3 · derivative.exercise_date: 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 (4)) F4 · derivative.exercise_date: (continued from Footnote (3)) (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 · derivative.expiration_date: 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 (4)) F4 · derivative.expiration_date: (continued from Footnote (3)) (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. F5 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 1,091,751 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · derivative · entry 7 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 286,723 Underlying: Class A Common Stock · 1,091,751 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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 (4)) F4 · derivative.exercise_price: (continued from Footnote (3)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · shares: On December 14, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on December 14, 2018 in its entirety. F3 · derivative.exercise_date: 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 (4)) F4 · derivative.exercise_date: (continued from Footnote (3)) (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 · derivative.expiration_date: 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 (4)) F4 · derivative.expiration_date: (continued from Footnote (3)) (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. F5 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 226,153 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · nonDerivative · entry 6 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F10 · kind: Represents a distribution without additional consideration by NBCV to its members, excluding members affiliated with the Managing Members. F9 · ownership.nature: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 226,153 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · nonDerivative · entry 5 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 226,153 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F3 · price: 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 (4)) F4 · price: (continued from Footnote (3)) (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. F9 · ownership.nature: The reported securities are owned directly by NBCV. The Managing Members are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 121 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · nonDerivative · entry 4 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 767 F6 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F8 · ownership.nature: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr. MGD IRA ("IRA"). Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 364 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · nonDerivative · entry 3 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,302 F6 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F7 · ownership.nature: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 1,091,751 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · nonDerivative · entry 2 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F6 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F5 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| December 12, 2018 Filed Feb 14, 2019 14:24 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 1,091,751 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001441683-19-000033 · wf-form4a_155015425226717.xml · nonDerivative · entry 1 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,091,751 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · shares: On December 14, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on December 14, 2018 in its entirety. F3 · price: 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 (4)) F4 · price: (continued from Footnote (3)) (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. F5 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). Novak Biddle Company V, LLC ("NBCV") is the general partner of NBVPV and A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 2,668,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · derivative · entry 11 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,383,232 Underlying: Class A Common Stock · 2,668,834 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the " Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 37,015 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · derivative · entry 10 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 89,102 Underlying: Class A Common Stock · 37,015 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F9 · ownership.nature: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr MGD IRA. Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 111,052 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · derivative · entry 9 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 267,325 Underlying: Class A Common Stock · 111,052 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F8 · ownership.nature: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 296,133 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · derivative · entry 8 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 362,719 Underlying: Class A Common Stock · 296,133 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 42,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · derivative · entry 7 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 658,852 Underlying: Class A Common Stock · 42,054 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 297 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · nonDerivative · entry 6 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 646 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners. F9 · ownership.nature: The reported securities are owned directly by Wells Fargo Bank NA FBO E.R. Novak Jr MGD IRA. Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 891 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · nonDerivative · entry 5 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,938 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners. F8 · ownership.nature: The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 2,668,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · nonDerivative · entry 4 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the " Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 2,668,834 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · nonDerivative · entry 3 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,668,834 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · price: 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 (3)) F3 · price: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the " Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 42,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · nonDerivative · entry 2 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its partners. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Oct 2, 2018 21:15 UTC | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 42,054 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-053294 · doc4.xml · nonDerivative · entry 1 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 42,054 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Person converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · price: 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 (3)) F3 · price: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 4,758 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · derivative · entry 12 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,378,474 Underlying: Class A Common Stock · 4,758 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F12 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV, NH or IRA. F11 · shares: On October 2, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on October 2, 2018 in its entirety. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 2,668,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · derivative · entry 11 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,383,232 Underlying: Class A Common Stock · 2,668,834 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 37,015 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · derivative · entry 10 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 89,102 Underlying: Class A Common Stock · 37,015 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F10 · kind: Represents a pro rata distribution without additional consideration by NBCV to its members. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F9 · ownership.nature: The reported securities are owned directly by IRA. Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 111,052 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · derivative · entry 9 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 267,325 Underlying: Class A Common Stock · 111,052 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F10 · kind: Represents a pro rata distribution without additional consideration by NBCV to its members. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F8 · ownership.nature: The reported securities are owned directly by NH. Mr. Novak is the sole general member of NH. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass B Common Stock · Derivative | 658,852 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · derivative · entry 8 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 658,852 shares Expires not disclosed F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F10 · kind: Represents a pro rata distribution without additional consideration by NBCV to its members. F11 · shares: On October 2, 2018, the Reporting Persons filed a Form 4, which inadvertently excluded the distribution of certain shares of the Issuer's Class B Common Stock (the "Distributed Shares"). This amendment corrects the exclusion of the Distributed Shares. This Form 4 amendment amends and restates the Form 4 filed by the Reporting Persons on October 2, 2018 in its entirety. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass B Common Stock · Derivative | 42,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · derivative · entry 7 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 658,852 Underlying: Class A Common Stock · 42,054 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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 (3)) F3 · derivative.exercise_price: (continued from Footnote (2)) (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. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · derivative.exercise_date: 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 (3)) F3 · derivative.exercise_date: (continued from Footnote (2)) (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. F2 · derivative.expiration_date: 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 (3)) F3 · derivative.expiration_date: (continued from Footnote (2)) (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. F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 297 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · nonDerivative · entry 6 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 646 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F9 · ownership.nature: The reported securities are owned directly by IRA. Mr. Novak has sole voting and dispositive power of these shares. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 891 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · nonDerivative · entry 5 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,938 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F8 · ownership.nature: The reported securities are owned directly by NH. Mr. Novak is the sole general member of NH. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 2,668,834 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · nonDerivative · entry 4 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F7 · kind: Represents a pro rata distribution without additional consideration by NBVPV to its limited partners only, and not to its general partner NBCV. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | ConversionClass A Common Stock | 2,668,834 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · nonDerivative · entry 3 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,668,834 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Pursuant to the terms of the Class B Common Stock, the Reporting Persons converted shares of Class B Common Stock into shares of Class A Common Stock. F2 · price: 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 (3)) F3 · price: (continued from Footnote (2)) (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. F6 · ownership.nature: The reported securities are owned directly by Novak Biddle Venture Partners V, L.P. ("NBVPV"). NBCV is the general partner of NBVPV and the Managing Members are the managing members of NBCV. Each of NBCV and the Managing Members disclaim beneficial ownership of all the shares owned by NBVPV and this report shall not be deemed an admission that either is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
| September 28, 2018 Filed Feb 14, 2019 14:22 UTC Amendment | APPIAN CORP APPN · Entity 4256 | OtherClass A Common Stock | 42,054 | $0.00 | $0.00 |
DisclosureSEC source: 0001441683-19-000031 · wf-form4a_155015412846678.xml · nonDerivative · entry 2 Novak Biddle Co V, LLC · CIK 0001707252 · 10% owner Novak Biddle Venture Partners V L P · CIK 0001385804 · 10% owner Novak E Rogers JR · CIK 0001292028 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F5 · kind: Represents a pro rata distribution without additional consideration by NBCV to its members, excluding Novak Holdings, LLC ("NH") and Wells Fargo Bank NA FBO E.R. Nojak Jr MGD IRA ("IRA"). F4 · ownership.nature: The reported securities are owned directly by Novak Biddle Company V, LLC ("NBCV"). A.G.W. Biddle III and E. Rogers Novak, Jr. (collectively, the "Managing Members") are the managing members of NBCV. The Managing Members disclaim beneficial ownership of all the shares owned by NBCV and this report shall not be deemed an admission that they are the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their pecuniary interests therein. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.