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Filing Details

Accession Number:: 0001209191-20-053426
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-10-02 21:49:00
Reporting Period:: 2020-09-30

Accepted Time:: 2020-10-02 21:49:00
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
1823923	D. Ryan Taylor	C/O Palantir Technologies Inc. 1555 Blake Street, Suite 250 Denver CO 80202	See Remarks	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2020-09-30	2,611,664	$0.00	2,611,664	No	4	A	Direct
Class A Common Stock	Disposition	2020-09-30	433,979	$9.76	2,177,685	No	4	S	Direct
Class A Common Stock	Disposition	2020-09-30	211,628	$10.65	1,966,057	No	4	S	Direct
Class A Common Stock	Disposition	2020-09-30	37,893	$11.22	1,928,164	No	4	S	Direct
Class A Common Stock	Acquisiton	2020-09-30	14,500	$0.00	1,942,644	No	4	C	Direct
Class A Common Stock	Disposition	2020-09-30	10,000	$9.60	1,932,644	No	4	S	Direct
Class A Common Stock	Disposition	2020-09-30	4,500	$10.70	1,928,164	No	4	S	Direct
Class A Common Stock	Acquisiton	2020-10-01	43,588	$0.00	1,971,752	No	4	C	Direct
Class A Common Stock	Disposition	2020-10-01	73,588	$9.92	1,898,164	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	C	Direct
No	4	S	Direct
No	4	S	Direct
No	4	C	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class B Common Stock	Employee Stock Option (Right to buy)	Disposition	2020-09-30	14,500	$0.00	14,500	$3.25
Class A Common Stock	Class B Common Stock	Acquisiton	2020-09-30	14,500	$0.00	14,500	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2020-09-30	14,500	$0.00	14,500	$0.00
Class B Common Stock	Employee Stock Option (Right to buy)	Disposition	2020-10-01	43,588	$0.00	43,588	$3.25
Class A Common Stock	Class B Common Stock	Acquisiton	2020-10-01	43,588	$0.00	43,588	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2020-10-01	43,588	$0.00	43,588	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
335,500	2023-10-16	No	4	M	Direct
14,500		No	4	M	Direct
0		No	4	C	Direct
291,912	2023-10-16	No	4	M	Direct
43,588		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 the conversion of Class B Common Stock to Class A Common Stock.
This transaction was executed in multiple trades at prices ranging from $9.60 to $9.61. 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 $9.52 to $10.07. 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.
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.