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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 A-2 Convertible Preferred Stock | (1) | 03/04/2010 | C | 622,161 | (1) | (7) | Common Stock | 622,161 | (1) | 0 | D (2) | ||||
Series A-2 Convertible Preferred Stock | (1) | 03/04/2010 | C | 62,285 | (1) | (7) | Common Stock | 62,285 | (1) | 0 | D (3) | ||||
Series A-2 Convertible Preferred Stock | (1) | 03/04/2010 | C | 2,265 | (1) | (7) | Common Stock | 2,265 | (1) | 0 | D (4) | ||||
Series B-1 Convertible Preferred Stock | (3) | 03/04/2010 | C | 1,341,448 | (5) | (7) | Common Stock | 1,341,448 | (5) | 0 | D (2) | ||||
Series B-1 Convertible Preferred Stock | (3) | 03/04/2010 | C | 134,292 | (5) | (7) | Common Stock | 134,292 | (5) | 0 | D (3) | ||||
Series B-1 Convertible Preferred Stock | (3) | 03/04/2010 | C | 4,886 | (5) | (7) | Common Stock | 4,886 | (5) | 0 | D (4) | ||||
Series B-2 Convertible Preferred Stock | (4) | 03/04/2010 | C | 950,897 | (6) | (7) | Common Stock | 950,897 | (6) | 0 | D (2) | ||||
Series B-2 Convertible Preferred Stock | (4) | 03/04/2010 | C | 95,194 | (6) | (7) | Common Stock | 95,194 | (6) | 0 | D (3) | ||||
Series B-2 Convertible Preferred Stock | (4) | 03/04/2010 | C | 3,463 | (6) | (7) | Common Stock | 3,463 | (6) | 0 | D (4) | ||||
Common Stock Warrant | $ 7 | 03/04/2010 | C | 59,144 | (8) | 07/17/2014 | Common Stock | 59,144 | $ 0 | 59,144 | D (2) | ||||
Common Stock Warrant | $ 7 | 03/04/2010 | C | 5,920 | (8) | 07/17/2014 | Common Stock | 5,920 | $ 0 | 5,920 | D (3) | ||||
Common Stock Warrant | $ 7 | 03/04/2010 | C | 215 | (8) | 07/17/2014 | Common Stock | 215 | $ 0 | 215 | D (4) | ||||
Common Stock Warrant | $ 7 | 03/04/2010 | C | 88,717 | (9) | 09/09/2014 | Common Stock | 88,717 | $ 0 | 88,717 | D (2) | ||||
Common Stock Warrant | $ 7 | 03/04/2010 | C | 8,881 | (9) | 09/09/2014 | Common Stock | 8,881 | $ 0 | 8,881 | D (3) | ||||
Common Stock Warrant | $ 7 | 03/04/2010 | C | 323 | (9) | 09/09/2014 | Common Stock | 323 | $ 0 | 323 | D (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VANTAGEPOINT VENTURE ASSOCIATES IV LLC C/O VANTAGEPOINT VENTURE PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO, CA 94066 |
X | |||
VANTAGEPOINT VENTURE PARTNERS IV Q LP C/O VANTAGEPOINT VENTURE PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO, CA 94066 |
X | |||
VANTAGEPOINT VENTURE PARTNERS IV LP C/O VANTAGEPOINT VENTURE PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO, CA 94066 |
X | |||
VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP C/O VANTAGEPOINT VENTURE PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO, CA 94066 |
X | |||
SALZMAN ALAN E C/O VANTAGEPOINT VENTURE PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO, CA 94066 |
X |
VANTAGEPOINT VENTURE ASSOCIATES IV, LLC, By: Alan E. Salzman, Managing Member | 03/05/2010 | |
**Signature of Reporting Person | Date | |
VANTAGEPOINT VENTURE PARTNERS IV (Q), L.P., By: VantagePoint Venture Associates IV, LLC, its General Partner, By: Alan E. Salzman, Managing Member | 03/05/2010 | |
**Signature of Reporting Person | Date | |
VANTAGEPOINT VENTURE PARTNERS IV, L.P., By: VantagePoint Venture Associates IV, LLC, its General Partner, By: Alan E. Salzman, Managing Member | 03/05/2010 | |
**Signature of Reporting Person | Date | |
VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND, L.P, By: VantagePoint Venture Associates IV, LLC, its General Partner, By: Alan E. Salzman, Managing Member | 03/05/2010 | |
**Signature of Reporting Person | Date | |
Alan E. Salzman | 03/05/2010 | |
**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 A-2 Convertible Preferred Stock was automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. |
(2) | These securities are directly held by VantagePoint Venture Partners IV(Q), L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV(Q), L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such shares except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer but do not affirm the existence of any such group. |
(3) | These securities are directly held by VantagePoint Venture Partners IV, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer but do not affirm the existence of any such group. |
(4) | These securities are directly held by VantagePoint Venture Partners IV, Principals Fund, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV, Principals Fund, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer but do not affirm the existence of any such group. |
(5) | Each share of Series B-1 Convertible Preferred Stock was automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. |
(6) | Each share of Series B-2 Convertible Preferred Stock was automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering. |
(7) | The Series A-2, Series B-1 and Series B-2 Convertible Preferred Stock have no expiration date. |
(8) | The warrants were issued on July 17, 2009 and are immediately exercisable, subject to the satisfaction of certain conditions. |
(9) | The warrants were issued on September 9, 2009 and are immediately exercisable, subject to the satisfaction of certain conditions. |
(10) | The Common Stock was acquired upon conversion of a Senior Secured Convertible Promissory Note exempt from the definition of a derivative security and whose conversion ratio did not become fixed until automatic conversion at the time of the closing of the Issuer's initial public offering. |