Filing Details
- Accession Number:
- 0001209191-20-053424
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-10-02 21:47:39
- Reporting Period:
- 2020-09-30
- Accepted Time:
- 2020-10-02 21:47:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1321655 | Palantir Technologies Inc. | PLTR | Services-Prepackaged Software (7372) | 680551851 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1823919 | A. Matthew Long | C/O Palantir Technologies Inc. 1555 Blake Street, Suite 250 Denver CO 80202 | General Counsel | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2020-09-30 | 1,313,410 | $0.00 | 1,313,410 | No | 4 | A | Direct | |
| Class A Common Stock | Disposition | 2020-09-30 | 278,993 | $9.76 | 1,034,417 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-09-30 | 136,050 | $10.65 | 898,367 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2020-09-30 | 24,361 | $11.22 | 874,006 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2020-10-01 | 200 | $0.00 | 874,206 | No | 4 | C | Direct | |
| Class A Common Stock | Acquisiton | 2020-10-01 | 139,800 | $0.00 | 1,014,006 | No | 4 | C | Direct | |
| Class A Common Stock | Disposition | 2020-10-01 | 140,000 | $9.90 | 874,006 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class B Common Stock | Employee Stock Option (Right to buy) | Disposition | 2020-10-01 | 200 | $0.00 | 200 | $1.50 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-10-01 | 200 | $0.00 | 200 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-10-01 | 200 | $0.00 | 200 | $0.00 |
| Class B Common Stock | Employee Stock Option (Right to buy) | Disposition | 2020-10-01 | 139,800 | $0.00 | 139,800 | $2.70 |
| Class A Common Stock | Class B Common Stock | Acquisiton | 2020-10-01 | 139,800 | $0.00 | 139,800 | $0.00 |
| Class A Common Stock | Class B Common Stock | Disposition | 2020-10-01 | 139,800 | $0.00 | 139,800 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-12-19 | No | 4 | M | Direct | |
| 200 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 860,200 | 2022-07-02 | No | 4 | M | Direct | |
| 139,800 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock, subject to the applicable time-based vesting schedule and conditions of each RSU and the Reporting Person continuing as a service provider through each applicable vesting date. The performance condition of these previously granted RSUs was satisfied upon the listing and public trading of the Issuer's Class A Common Stock.
- A portion of these shares was sold to cover tax withholding obligations in connection with the vesting of RSUs.
- This transaction was executed in multiple trades at prices ranging from $9.12 to $10.115. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
- This transaction was executed in multiple trades at prices ranging from $10.12 to $11.11. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
- This transaction was executed in multiple trades at prices ranging from $11.12 to $11.41. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
- Represents conversion of Class B Common Stock into Class A Common Stock.
- All of the shares subject to the option are fully vested and exercisable as of the date hereof.
- The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis and has no expiration date.
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