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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 Preferred Stock | (1) | 12/22/2014 | C | 5,621,432 | (1) | (1) | Common Stock | 5,621,432 | $ 0 | 0 | I | See footnote (6) | |||
Series C Preferred Stock | (2) | 12/22/2014 | C | 1,032,088 | (2) | (2) | Common Stock | 1,032,088 | $ 0 | 0 | I | See footnote (6) | |||
Series C-1 Preferred Stock | (3) | 12/22/2014 | C | 253,356 | (3) | (3) | Common Stock | 253,356 | $ 0 | 0 | I | See footnote (6) | |||
Series D Preferred Stock | (4) | 12/22/2014 | C | 942,406 | (4) | (4) | Common Stock | 942,406 | $ 0 | 0 | I | See footnote (6) | |||
Series E Preferred Stock | (5) | 12/22/2014 | C | 50,986 | (5) | (5) | Common Stock | 50,986 | $ 0 | 0 | I | See footnote (6) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RRE Ventures GP IV, LLC C/O RRE VENTURES 130 EAST 59TH STREET, 17TH FLOOR NEW YORK, NY 10022 |
X | |||
RRE VENTURES IV L P C/O RRE VENTURES 130 EAST 59TH STREET, 17TH FLOOR NEW YORK, NY 10022 |
X | |||
Robinson James D IV C/O RRE VENTURES 130 EAST 59TH STREET, 17TH FLOOR NEW YORK, NY 10022 |
X | |||
Ellman Stuart J. C/O RRE VENTURES 130 EAST 59TH STREET, 17TH FLOOR NEW YORK,, NY 10022 |
X |
/s/ Will D. Porteous, Chief Operating Officer, RRE Ventures IV, L.P. | 12/22/2014 | |
**Signature of Reporting Person | Date | |
RRE Ventures GP IV, LLC, its General Partner, /s/ Will D. Porteous, Chief Operating Officer, RRE Ventures IV, L.P. | 12/22/2014 | |
**Signature of Reporting Person | Date | |
/s/ James D. Robinson IV | 12/22/2014 | |
**Signature of Reporting Person | Date | |
/s/ Stuart J. Ellman | 12/22/2014 | |
**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) | The Series B Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. |
(2) | The Series C Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. |
(3) | The Series C-1 Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. |
(4) | The Series D Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. |
(5) | The Series E Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date. |
(6) | The reported shares are held of record by RRE Ventures IV, L.P. ("RRE LP"). RRE Ventures GP IV, LLC ("RRE GP"), is the general partner of RRE LP. James D. Robinson IV and Stuart J. Ellman, as the managing members of RRE GP, share voting and dispositive power with respect to the shares held by RRE LP. Messrs. Robinson and Ellman disclaim beneficial ownership of the securities reported herein, except to the extent of his individual pecuniary interest therein. |