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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 C Convertible Preferred Stock | (1) | 07/05/2011 | C | 303,971 | (1) | (1) | Common Stock | 303,971 | $ 0 | 0 | I | By Institutional Venture Partners XII, L.P. (2) | |||
Series D Convertible Preferred Stock | (1) | 07/05/2011 | C | 2,754,939 | (3) | (3) | Common Stock | 2,754,939 | $ 0 | 0 | I | By Institutional Venture Partners XII, L.P. (2) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 483,000 | (1) | (1) | Common Stock | 483,000 | $ 0 | 0 | I | By Institutional Venture Partners XI GmbH & Co Beteiligungs KG (6) | |||
Series C Convertible Preferred Stock | (1) | 07/05/2011 | C | 3,017,000 | (1) | (1) | Common Stock | 3,017,000 | $ 0 | 0 | I | By Institutional Venture Partners XI, L.P. (7) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chaffee Todd C 3000 SAND HILL ROAD BUILDING 2, SUITE 250 MENLO PARK, CA 94025 |
X |
/s/ Melissa Frug?? (as Attorney-in-Fact) | 07/05/2011 | |
**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 C Convertible Preferred Stock, which was previously convertible at any time and had no expiration date, converted into HomeAway, Inc. common stock on a one-for-one basis. |
(2) | The shares are owned by Institutional Venture Partners XII, L.P. ("IVP XII"). Institutional Venture Management XII, LLC ("IVM XII") serves as the sole General Partner of IVP XII, and has sole voting and investment control over the shares owned by IVP XII, and may be deemed to beneficially own the shares held by IVP XII. IVM XII owns no securities of the Issuer directly. The Reporting Person is a Managing Director of IVM XII. As such, the Reporting Person shares voting and dispositive power over the shares held by IVP XII and may be deemed to have indirect beneficial ownership of the shares held by IVP XII. The Reporting Person disclaims beneficial ownership of the shares held by IVP XII as reported herein, except to the extent of his pecuniary interest therein. |
(3) | The Series D Convertible Preferred Stock, which was previously convertible at any time and had no expiration date, converted into HomeAway, Inc. common stock on a one-for-one basis. |
(4) | The reported securities were mandatorily redeemable by HomeAway, Inc. upon the closing of its initial public offering and were accordingly redeemed by HomeAway, Inc. at a price equal to $1.40 per share plus an additional amount equal to the accumulated dividends on such shares for aggregate proceeds of $127,778.37. |
(5) | The reported securities were mandatorily redeemable by HomeAway, Inc. upon the closing of its initial public offering and were accordingly redeemed by HomeAway, Inc. at a price equal to $2.00 per share plus an additional amount equal to the accumulated dividends on such shares for aggregate proceeds of $10,846.38. |
(6) | The shares are owned by Institutional Venture Partners XI GmbH & Co. Beteiligungs KG ("IVP XI KG"), which is under common control with Institutional Venture Partners XI, L.P. ("IVP XI"). Institutional Venture Management XI, LLC ("IVM XI") serves as the sole managing limited partner of IVP XI KG, and has sole voting and investment control over the shares owned by IVP XI KG, and may be deemed to beneficially own shares held by IVP XI KG. IVM XI owns no securities of the Issuer directly. The Reporting Person is a Managing Director of IVM XI. As such, the Reporting Person shares voting and dispositive power over the shares held by IVP XI KG and may be deemed to have indirect beneficial ownership of the shares held by IVP XI KG. The Reporting Person disclaims beneficial ownership of the shares held by IVP XI KG as reported herein, except to the extent of his pecuniary interest therein. |
(7) | The shares are owned by IVP XI. IVM XI serves as the sole General Partner of IVP XI, and has sole voting and investment control over the shares owned by IVP XI, and may be deemed to beneficially own shares held by IVP XI. The Reporting Person is a Managing Director of IVM XI. As such, the Reporting Person shares voting and dispositive power over the shares held by IVP XI and may be deemed to have indirect beneficial ownership of the shares held by IVP XI. The Reporting Person disclaims beneficial ownership of the shares held by IVP XI as reported herein, except to the extent of his pecuniary interest therein. |