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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 Convertible Preferred Stock | (1) | 12/17/2014 | C | 257 | (1) | (6) | Common Stock | 257 | (1) | 0 | I | Trinity IX Entrepreneurs' Fund, L.P. (2) (3) | |||
Series B Convertible Preferred Stock | (1) | 12/17/2014 | C | 70,942 | (1) | (6) | Common Stock | 70,942 | (1) | 0 | I | Trinity IX Entrepreneurs' Fund, L.P. (2) (3) | |||
Series C Convertible Preferred Stock | (1) | 12/17/2014 | C | 7,317 | (1) | (6) | Common Stock | 7,317 | (1) | 0 | I | Trinity IX Entrepreneurs' Fund, L.P. (2) (3) | |||
Series D Convertible Preferred Stock | (1) | 12/17/2014 | C | 3,238 | (1) | (6) | Common Stock | 3,238 | (1) | 0 | I | Trinity IX Entrepreneurs' Fund, L.P. (2) (3) | |||
Series E Convertible Preferred Stock | (1) | 12/17/2014 | C | 2,418 | (1) | (6) | Common Stock | 2,418 | (1) | 0 | I | Trinity IX Entrepreneurs' Fund, L.P. (2) (3) | |||
Series A Convertible Preferred Stock | (1) | 12/17/2014 | C | 192 | (1) | (6) | Common Stock | 192 | (1) | 0 | I | Trinity IX Side-By-Side Fund, L.P. (4) | |||
Series B Convertible Preferred Stock | (1) | 12/17/2014 | C | 54,139 | (1) | (6) | Common Stock | 54,139 | (1) | 0 | I | Trinity IX Side-By-Side Fund, L.P. (4) | |||
Series C Convertible Preferred Stock | (1) | 12/17/2014 | C | 5,452 | (1) | (6) | Common Stock | 5,452 | (1) | 0 | I | Trinity IX Side-By-Side Fund, L.P. (4) | |||
Series D Convertible Preferred Stock | (1) | 12/17/2014 | C | 2,381 | (1) | (6) | Common Stock | 2,381 | (1) | 0 | I | Trinity IX Side-By-Side Fund, L.P. (4) | |||
Series E Convertible Preferred Stock | (1) | 12/17/2014 | C | 1,762 | (1) | (6) | Common Stock | 1,762 | (1) | 0 | I | Trinity IX Side-By-Side Fund, L.P. (4) | |||
Series A Convertible Preferred Stock | (1) | 12/17/2014 | C | 16,401 | (1) | (6) | Common Stock | 16,401 | (1) | 0 | I | Trinity Ventures IX, L.P. (5) | |||
Series B Convertible Preferred Stock | (1) | 12/17/2014 | C | 4,542,087 | (1) | (6) | Common Stock | 4,542,087 | (1) | 0 | I | Trinity Ventures IX, L.P. (5) | |||
Series C Convertible Preferred Stock | (1) | 12/17/2014 | C | 465,495 | (1) | (6) | Common Stock | 465,495 | (1) | 0 | I | Trinity Ventures IX, L.P. (5) | |||
Series D Convertible Preferred Stock | (1) | 12/17/2014 | C | 203,274 | (1) | (6) | Common Stock | 203,274 | (1) | 0 | I | Trinity Ventures IX, L.P. (5) | |||
Series E Convertible Preferred Stock | (1) | 12/17/2014 | C | 155,231 | (1) | (6) | Common Stock | 155,231 | (1) | 0 | I | Trinity Ventures IX, L.P. (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trinity TVL XI, LLC C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Nakache Patricia C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Fenton Noel J C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
ORR LAWRENCE K C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Tai Augustus O C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Trinity XI Entrepreneurs' Fund, L.P. C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Trinity XI Side-By-Side Fund, L.P. C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
TVL Management CORP C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Trinity Ventures XI, L.P. C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X | |||
Wang Fred C/O TRINITY VENTURES 2480 SAND HILL RD., STE. 200 MENLO PARK, CA 94025 |
X |
See Attached Signature Page | 12/17/2014 | |
**Signature of Reporting Person | Date | |
/s/ Patricia Nakache | 12/17/2014 | |
**Signature of Reporting Person | Date | |
/s/ Noel J. Fenton | 12/17/2014 | |
**Signature of Reporting Person | Date | |
/s/ Lawrence K. Orr | 12/17/2014 | |
**Signature of Reporting Person | Date | |
/s/ Augustus O. Tai | 12/17/2014 | |
**Signature of Reporting Person | Date | |
By: Trinity TVL IX, LLC, a Delaware limited liability company, its General Partner, By: /s/ Lawrence K. Orr, its: Management Member | 12/17/2014 | |
**Signature of Reporting Person | Date | |
By: Trinity TVL IX, LLC, a Delaware limited liability company, its General Partner, By: /s/ Lawrence K. Orr, its: Management Member | 12/17/2014 | |
**Signature of Reporting Person | Date | |
By: Lawrence K. Orr, its: President | 12/17/2014 | |
**Signature of Reporting Person | Date | |
By: Trinity TVL IX, LLC, a Delaware limited liability company, its General Partner, By: /s/ Lawrence K. Orr, its Management Member | 12/17/2014 | |
**Signature of Reporting Person | Date | |
/s/ Fred Wang | 12/17/2014 | |
**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 A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, Series D Convertible Preferred Stock and Series E Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock (for no consideration) upon the consummation of Issuer's initial public offering. |
(2) | The shares are owned by Trinity IX Entrepreneurs' Fund, L.P. ("TEF IX") which is under common control with Trinity IX Side-By-Side Fund, L.P. ("Trinity SBS IX") and Trinity Ventures IX, L.P. ("Trinity IX"). Trinity TVL IX, LLC ("Trinity TVL IX") serves as the sole general partner of TEF IX, Trinity SBS IX and Trinity IX. As such, Trinity TVL IX possesses sole voting and investment control over the shares owned by TEF IX, Trinity SBS IX and Trinity IX, and may be deemed to have indirect beneficial ownership of the securities held by TEF IX, Trinity SBS IX 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 officers of Trinity TVL Management Corporation and share voting and dispositive power over the shares held by TEF IX, Trinity SBS IX and Trinity IX. |
(3) | Each Reporting Person disclaims beneficial ownership of the shares held by TEF IX, Trinity SBS IX and Trinity IX except to the extent of his, her or its proportionate pecuniary interest therein. |
(4) | The shares are owned by Trinity SBS IX. |
(5) | The shares are owned by Trinity IX. |
(6) | Expiration Date is not relevant to the conversion of these securities. |