4//SEC Filing
Novak Biddle Co V, LLC 4
Accession 0001209191-18-053294
CIK 0001441683other
Filed
Oct 1, 8:00 PM ET
Accepted
Oct 2, 5:15 PM ET
Size
32.4 KB
Accession
0001209191-18-053294
Insider Transaction Report
Form 4
APPIAN CORPAPPN
Novak E Rogers JR
10% Owner
Transactions
- Other
Class B Common Stock
2018-09-28−296,133→ 362,719 total(indirect: See Footnote)→ Class A Common Stock (296,133 underlying) - Other
Class B Common Stock
2018-09-28+37,015→ 89,102 total(indirect: See Footnote)→ Class A Common Stock (37,015 underlying) - Conversion
Class A Common Stock
2018-09-28+42,054→ 42,054 total(indirect: See Footnote) - Conversion
Class A Common Stock
2018-09-28+2,668,834→ 2,668,834 total(indirect: See Footnote) - Conversion
Class B Common Stock
2018-09-28−42,054→ 658,852 total(indirect: See Footnote)→ Class A Common Stock (42,054 underlying) - Other
Class A Common Stock
2018-09-28−2,668,834→ 0 total(indirect: See Footnote) - Other
Class A Common Stock
2018-09-28+891→ 1,938 total(indirect: See Footnote) - Other
Class B Common Stock
2018-09-28+111,052→ 267,325 total(indirect: See Footnote)→ Class A Common Stock (111,052 underlying) - Other
Class A Common Stock
2018-09-28−42,054→ 0 total(indirect: See Footnote) - Other
Class A Common Stock
2018-09-28+297→ 646 total(indirect: See Footnote) - Conversion
Class B Common Stock
2018-09-28−2,668,834→ 1,383,232 total(indirect: See Footnote)→ Class A Common Stock (2,668,834 underlying)
Novak Biddle Co V, LLC
10% Owner
Transactions
- Other
Class B Common Stock
2018-09-28+37,015→ 89,102 total(indirect: See Footnote)→ Class A Common Stock (37,015 underlying) - Other
Class A Common Stock
2018-09-28−2,668,834→ 0 total(indirect: See Footnote) - Conversion
Class A Common Stock
2018-09-28+42,054→ 42,054 total(indirect: See Footnote) - Other
Class A Common Stock
2018-09-28+891→ 1,938 total(indirect: See Footnote) - Conversion
Class B Common Stock
2018-09-28−42,054→ 658,852 total(indirect: See Footnote)→ Class A Common Stock (42,054 underlying) - Other
Class B Common Stock
2018-09-28+111,052→ 267,325 total(indirect: See Footnote)→ Class A Common Stock (111,052 underlying) - Conversion
Class B Common Stock
2018-09-28−2,668,834→ 1,383,232 total(indirect: See Footnote)→ Class A Common Stock (2,668,834 underlying) - Other
Class A Common Stock
2018-09-28−42,054→ 0 total(indirect: See Footnote) - Conversion
Class A Common Stock
2018-09-28+2,668,834→ 2,668,834 total(indirect: See Footnote) - Other
Class A Common Stock
2018-09-28+297→ 646 total(indirect: See Footnote) - Other
Class B Common Stock
2018-09-28−296,133→ 362,719 total(indirect: See Footnote)→ Class A Common Stock (296,133 underlying)
Novak Biddle Venture Partners V L P
10% Owner
Transactions
- Other
Class A Common Stock
2018-09-28−42,054→ 0 total(indirect: See Footnote) - Other
Class B Common Stock
2018-09-28−296,133→ 362,719 total(indirect: See Footnote)→ Class A Common Stock (296,133 underlying) - Other
Class B Common Stock
2018-09-28+37,015→ 89,102 total(indirect: See Footnote)→ Class A Common Stock (37,015 underlying) - Conversion
Class A Common Stock
2018-09-28+42,054→ 42,054 total(indirect: See Footnote) - Conversion
Class A Common Stock
2018-09-28+2,668,834→ 2,668,834 total(indirect: See Footnote) - Other
Class A Common Stock
2018-09-28+297→ 646 total(indirect: See Footnote) - Conversion
Class B Common Stock
2018-09-28−2,668,834→ 1,383,232 total(indirect: See Footnote)→ Class A Common Stock (2,668,834 underlying) - Other
Class A Common Stock
2018-09-28−2,668,834→ 0 total(indirect: See Footnote) - Other
Class A Common Stock
2018-09-28+891→ 1,938 total(indirect: See Footnote) - Conversion
Class B Common Stock
2018-09-28−42,054→ 658,852 total(indirect: See Footnote)→ Class A Common Stock (42,054 underlying) - Other
Class B Common Stock
2018-09-28+111,052→ 267,325 total(indirect: See Footnote)→ Class A Common Stock (111,052 underlying)
Footnotes (9)
- [F1]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]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](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]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.
- [F5]Represents a pro rata distribution without additional consideration by NBCV to its partners.
- [F6]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.
- [F7]Represents a pro rata distribution without additional consideration by NBVPV to its limited partners.
- [F8]The reported securities are owned directly by Novak Holdings, LLC ("NH"). Mr. Novak is the sole general member of NH.
- [F9]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.
Documents
Issuer
APPIAN CORP
CIK 0001441683
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001707252
Filing Metadata
- Form type
- 4
- Filed
- Oct 1, 8:00 PM ET
- Accepted
- Oct 2, 5:15 PM ET
- Size
- 32.4 KB