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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series B Convertible Preferred Stock | (1) | 01/29/2014 | C | 31,513 | (6) | (7) | Common Stock | 31,513 | (1) | 0 | I | See Footnotes (2) (3) | |||
Series C Convertible Preferred Stock | (1) | 01/29/2014 | C | 10,946 | (6) | (7) | Common Stock | 10,946 | (1) | 0 | I | See Footnotes (2) (3) | |||
Series D Convertible Preferred Stock | (1) | 01/29/2014 | C | 1,859 | (6) | (7) | Common Stock | 1,859 | (1) | 0 | I | See Footnotes (2) (3) | |||
Series E Convertible Preferred Stock | (1) | 01/29/2014 | C | 10,981 | (6) | (7) | Common Stock | 10,981 | (1) | 0 | I | See Footnotes (2) (3) | |||
Series B Convertible Preferred Stock | (1) | 01/29/2014 | C | 24,065 | (6) | (7) | Common Stock | 24,065 | (1) | 0 | I | See Footnote (4) | |||
Series C Convertible Preferred Stock | (1) | 01/29/2014 | C | 8,359 | (6) | (7) | Common Stock | 8,359 | (1) | 0 | I | See Footnote (4) | |||
Series D Convertible Preferred Stock | (1) | 01/29/2014 | C | 1,385 | (6) | (7) | Common Stock | 1,385 | (1) | 0 | I | See Footnote (4) | |||
Series E Convertible Preferred Stock | (1) | 01/29/2014 | C | 8,022 | (6) | (7) | Common Stock | 8,022 | (1) | 0 | I | See Footnote (4) | |||
Series B Convertible Preferred Stock | (1) | 01/29/2014 | C | 1,854,342 | (6) | (7) | Common Stock | 1,854,342 | (1) | 0 | I | See Footnote (5) | |||
Series C Convertible Preferred Stock | (1) | 01/29/2014 | C | 644,133 | (6) | (7) | Common Stock | 644,133 | (1) | 0 | I | See Footnote (5) | |||
Series D Convertible Preferred Stock | (1) | 01/29/2014 | C | 118,234 | (6) | (7) | Common Stock | 118,234 | (1) | 0 | I | See Footnote (5) | |||
Series E Convertible Preferred Stock | (1) | 01/29/2014 | C | 638,525 | (6) | (7) | Common Stock | 638,525 | (1) | 0 | I | See Footnote (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trinity TVL IX, LLC C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
TRINITY VENTURES IX L P C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
Trinity IX Side-By-Side Fund, L.P. C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
Trinity IX Entrepreneurs Fund LP C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
Fenton Noel J C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
Nakache Patricia C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
ORR LAWRENCE K C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
Tai Augustus O C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
Wang Fred C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X | |||
TVL Management CORP C/O TRINITY VENTURES 3000 SAND HILL RD, BLDG FOUR, SUITE 160 MENLO PARK, CA 94025 |
X |
TRINITY TVL IX, LLC, a Delaware limited liability company By: /s/ Lawrence K. Orr, Management Member | 01/29/2014 | |
**Signature of Reporting Person | Date | |
TRINITY VENTURES IX, L.P., a Delaware limited partnership By: Trinity TVL IX, LLC, a Delaware limited liability company its General Partner By: /s/ Lawrence K. Orr, Management Member | 01/29/2014 | |
**Signature of Reporting Person | Date | |
TRINITY IX SIDE-BY-SIDE FUND, L.P., a Delaware limited partnership By: Trinity TVL IX, LLC, a Delaware limited liability company its General Partner By: /s/ Lawrence K. Orr, Management Member | 01/29/2014 | |
**Signature of Reporting Person | Date | |
TRINITY IX ENTREPRENEURS' FUND, L.P., a Delaware limited partnership By: Trinity TVL IX, LLC, a Delaware limited liability company its General Partner By: /s/ Lawrence K. Orr, Management Member | 01/29/2014 | |
**Signature of Reporting Person | Date | |
/s/ Noel J. Fenton | 01/29/2014 | |
**Signature of Reporting Person | Date | |
/s/ Patricia E. Nakache | 01/29/2014 | |
**Signature of Reporting Person | Date | |
/s/ Lawrence K. Orr | 01/29/2014 | |
**Signature of Reporting Person | Date | |
/s/ Augustus O. Tai | 01/29/2014 | |
**Signature of Reporting Person | Date | |
/s/ Fred Wang | 01/29/2014 | |
**Signature of Reporting Person | Date | |
TVL MANAGEMENT CORPORATION By: /s/ Lawrence K. Orr, President | 01/29/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each share of Series B Convertible Preferred, Series C Convertible Preferred, Series D Convertible Preferred and Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock upon the consummation of Issuer's initial public offering. |
(2) | The shares are owned by Trinity IX Entrepreneurs' Fund, L.P. ("Trinity IX EF") which is under common control with Trinity IX Side-By-Side Fund, L.P. ("Trinity IX SBS") and Trinity Ventures IX, L.P. ("Trinity IX"). Trinity TVL IX, LLC ("Trinity TVL IX") serves as the sole general partner of Trinity IX EF, Trinity IX SBS and Trinity IX. As such, Trinity TVL IX possesses sole voting and investment control over the shares owned by Trinity IX EF, Trinity IX SBS and Trinity IX, and may be deemed to have indirect beneficial ownership of the securities held by Trinity IX EF, Trinity IX SBS and Trinity IX. Trinity TVL IX, however, owns no shares of the Issuer directly. Messrs. Fenton, Orr, Tai and Wang and Ms. Nakache serve as Management Members of Trinity TVL IX and serve as Directors of TVL Management Corporation and share voting and dispositive power over the shares held by Trinity IX EF, Trinity IX SBS and Trinity IX. |
(3) | Each Reporting Person disclaims beneficial ownership of the shares held by Trinity IX EF, Trinity IX SBS and Trinity IX except to the extent of his, her or its proportionate pecuniary interest therein. |
(4) | The shares are owned by Trinity IX SBS. See footnotes 2 and 3 above. |
(5) | The shares are owned by Trinity IX. See footnotes 2 and 3 above. |
(6) | The Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock and Series E Convertible Preferred Stock automatically convert into shares of Issuer's Common Stock on a 1:1 basis upon the completion of Issuer's initial public offering. |
(7) | The expiration date is not relevant to the conversion of these securities. |