0001209191-18-059182.txt : 20181119 0001209191-18-059182.hdr.sgml : 20181119 20181119162724 ACCESSION NUMBER: 0001209191-18-059182 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181115 FILED AS OF DATE: 20181119 DATE AS OF CHANGE: 20181119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McClain Mark D. CENTRAL INDEX KEY: 0001722498 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38297 FILM NUMBER: 181192803 MAIL ADDRESS: STREET 1: C/O SAILPOINT TECHNOLOGIES HOLDINGS, INC STREET 2: 11305 FOUR POINTS DR, BLDG 2, STE 100 CITY: AUSTIN STATE: TX ZIP: 78726 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sailpoint Technologies Holdings, Inc. CENTRAL INDEX KEY: 0001627857 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 471628077 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11305 FOUR POINTS DRIVE, BLDG. 2 STREET 2: SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78726 BUSINESS PHONE: (512) 346-2000 MAIL ADDRESS: STREET 1: 11305 FOUR POINTS DRIVE, BLDG. 2 STREET 2: SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78726 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-11-15 0 0001627857 Sailpoint Technologies Holdings, Inc. SAIL 0001722498 McClain Mark D. 11305 FOUR POINTS DRIVE BUILDING 2, SUITE 100 AUSTIN TX 78726 1 1 0 0 CEO and President Common Stock 2018-11-15 5 S 0 E 8661 26.2869 D 1654141 D Common Stock 2018-11-15 5 S 0 E 6339 27.079 D 1647802 D Common Stock 2018-11-15 5 S 0 E 8660 26.2868 D 1237334 I By McClain Charitable Remainder Trust Common Stock 2018-11-15 5 S 0 E 6340 27.079 D 1230994 I By McClain Charitable Remainder Trust Common Stock 2018-11-15 5 S 0 E 578 26.287 D 63422 I By McClain RHD 2015 Trust Common Stock 2018-11-15 5 S 0 E 422 27.079 D 63000 I By McClain RHD 2015 Trust Common Stock 2018-11-15 5 S 0 E 577 26.2869 D 63423 I By McClain ADM 2015 Trust Common Stock 2018-11-15 5 S 0 E 423 27.0793 D 63000 I By McClain ADM 2015 Trust Common Stock 2018-11-15 5 S 0 E 577 26.2861 D 63423 I By McClain GMM 2015 Trust Common Stock 2018-11-15 5 S 0 E 423 27.0787 D 63000 I By McClain GMM 2015 Trust On November 15, 2018, pursuant to a plan of disposition adopted on March 15, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "10b5-1 Plan"), Mr. McClain sold 8,661 shares in multiple trades at prices ranging from $25.88 to $26.87. The price reported above reflects the weighted average sale price. Mr. McClain hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 300,000 shares may be sold in the aggregate under the 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 300,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to the 10b5-1 Plan, Mr. McClain sold 6,339 shares in multiple trades at prices ranging from $26.88 to $27.24. The price reported above reflects the weighted average sale price. Mr. McClain hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 300,000 shares may be sold in the aggregate under the 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 300,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to a plan of disposition adopted on March 15, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "Unitrust 10b5-1 Plan"), the McClain Charitable Remainder Unitrust (the "Unitrust") sold 8,660 shares in multiple trades at prices ranging from $25.88 to $26.87. The price reported above reflects the weighted average sale price. The Unitrust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 300,000 shares may be sold in the aggregate under the Unitrust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 300,000 shares in the aggregate have been sold. Mr. McClain is a co-trustee for the Unitrust, and he shares investment control over, and may be deemed to have a pecuniary interest in, the shares held by the Unitrust. As such, Mr. McClain may be deemed to beneficially own all of the shares held by the Unitrust; however, Mr. McClain disclaims beneficial ownership of the shares held by the Unitrust except to the extent of his pecuniary interest therein. On November 15, 2018, pursuant to the Unitrust 10b5-1 Plan, the Unitrust sold 6,340 shares in multiple trades at prices ranging from $26.88 to $27.24. The price reported above reflects the weighted average sale price. The Unitrust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 300,000 shares may be sold in the aggregate under the Unitrust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 300,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to a plan of disposition adopted on March 15, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "RHD Trust 10b5-1 Plan"), the McClain RHD 2015 Trust (the "RHD Trust") sold 578 shares in multiple trades at prices ranging from $25.88 to $26.87. The price reported above reflects the weighted average sale price. The RHD Trust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 22,000 shares may be sold in the aggregate under the RHD Trust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 22,000 shares in the aggregate have been sold. Mr. McClain is a co-trustee for each of the RHD Trust, McClain ADM 2015 Trust (the "ADM Trust") and McClain GMM 2015 Trust (the "GMM Trust", and together with the RHD Trust and the ADM Trust, the "Family Trusts"). The beneficiary of each of the Family Trusts is an immediate family member of Mr. McClain's. As such, Mr. McClain may be deemed to beneficially own all of the shares held by the Family Trusts; however, Mr. McClain disclaims beneficial ownership of the shares held by the Family Trusts except to the extent of his pecuniary interest therein. On November 15, 2018, pursuant to the RHD Trust 10b5-1 Plan, the RHD Trust sold 422 shares in multiple trades at prices ranging from $26.88 to $27.24. The price reported above reflects the weighted average sale price. The RHD Trust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 22,000 shares may be sold in the aggregate under the RHD Trust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 22,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to a plan of disposition adopted on March 15, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "ADM Trust 10b5-1 Plan"), the ADM Trust sold 577 shares in multiple trades at prices ranging from $25.88 to $26.87. The price reported above reflects the weighted average sale price. The ADM Trust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 22,000 shares may be sold in the aggregate under the ADM Trust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 22,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to the ADM Trust 10b5-1 Plan, the ADM Trust sold 423 shares in multiple trades at prices ranging from $26.88 to $27.24. The price reported above reflects the weighted average sale price. The ADM Trust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 22,000 shares may be sold in the aggregate under the ADM Trust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 22,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to a plan of disposition adopted on March 15, 2018 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934 (the "GMM Trust 10b5-1 Plan"), the GMM Trust sold 577 shares in multiple trades at prices ranging from $25.88 to $26.87. The price reported above reflects the weighted average sale price. The GMM Trust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 22,000 shares may be sold in the aggregate under the GMM Trust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 22,000 shares in the aggregate have been sold. On November 15, 2018, pursuant to the GMM Trust 10b5-1 Plan, the GMM Trust sold 423 shares in multiple trades at prices ranging from $26.88 to $27.24. The price reported above reflects the weighted average sale price. The GMM Trust hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares and prices at which the transaction was effected. No more than 22,000 shares may be sold in the aggregate under the GMM Trust 10b5-1 Plan, which terminates no later than April 17, 2019, regardless of whether the maximum of 22,000 shares in the aggregate have been sold. /s/ Christopher G. Schmitt, attorney-in-fact 2018-11-19