|
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 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A-1 Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 49,088 | (1) | (4) | Common Stock | 1,693 (1) (2) | $ 0 | 0 | D | ||||
Series A-1 Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 2,040,912 | (1) | (4) | Common Stock | 70,376 (1) (3) | $ 0 | 0 | D | ||||
Series A-2 Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 64,027 | (1) | (4) | Common Stock | 2,208 (1) (2) | $ 0 | 0 | D | ||||
Series A-2 Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 2,662,059 | (1) | (4) | Common Stock | 91,795 (1) (3) | $ 0 | 0 | D | ||||
Series B Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 268,269 | (1) | (4) | Common Stock | 9,250 (1) (2) | $ 0 | 0 | D | ||||
Series B Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 11,153,776 | (1) | (4) | Common Stock | 384,613 (1) (3) | $ 0 | 0 | D | ||||
Series C Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 685,531 | (1) | (4) | Common Stock | 23,639 (1) (2) | $ 0 | 0 | D | ||||
Series C Convertible Participating Preferred Stock | (1) | 03/25/2013 | C | 28,485,997 | (1) | (4) | Common Stock | 982,275 (1) (3) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CMEA VENTURES VI LP 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
CMEA Ventures VI GmbH & Co. KG 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
CMEA Ventures VI Management, L.P. 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
Handelsman Karl D. 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
Collier David J 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
Watson James F 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
Sohail Faysal A. 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X | |||
BARUCH THOMAS R 1 LETTERMAN DR. BLDG C, SUITE CM500 SAN FRANCISCO, CA 94129 |
X |
CMEA Ventures VI, L.P. By: CMEA Ventures VI Management, L.P., its General Partner By: /s/ Karl Handelsman, General Partner | 03/27/2013 | |
**Signature of Reporting Person | Date | |
CMEA Ventures VI, GmbH & CO. KG By: CMEA Ventures VI Management, L.P., its General Partner By: /s/ David Collier, its General Partner | 03/27/2013 | |
**Signature of Reporting Person | Date | |
CMEA Ventures VI Management, L.P. By: /s/ Faysal Sohail, its General Partner | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ Karl Handelsman | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ David Collier | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ James Watson | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ Faysal Sohail | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ Thomas Baruch | 03/27/2013 | |
**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) | The Series A-1, Series A-2, Series B and Series C Convertible Preferred Stock converted into Common Stock on a 1-for-29 basis upon the closing of the issuer's initial public offering without payment of consideration. |
(2) | Held by CMEA Ventures VI, GmbH & Co. KG. The general partner of CMEA Ventures VI, GmbH & Co. KG is CMEA Ventures VI Management, L.P. The general partners of CMEA Ventures VI Management, L.P. are Karl Handelsman, David Collier, Faysal Sohail, Thomas Baruch and James Watson. CMEA Ventures VI Management, L.P. and each of these individuals exercises shared voting and investment power over the shares held of record by CMEA Ventures VI, GmbH & Co. KG. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. |
(3) | Held by CMEA Ventures VI, L.P. The general partner of CMEA Ventures VI, L.P. is CMEA Ventures VI Management, L.P. The general partners of CMEA Ventures VI Management, L.P. are Karl Handelsman, David Collier, Faysal Sohail, Thomas Baruch and James Watson. CMEA Ventures VI Management, L.P. and each of these individuals exercises shared voting and investment power over the shares held of record by CMEA Ventures VI, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. |
(4) | Not applicable. |