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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 Convertible Preferred Stock | (1) | 04/02/2012 | C | 524,986 | (1) | (1) | Common Stock | 960,944 | (1) | 0 | D (2) | ||||
Series B Convertible Preferred Stock | (1) | 04/02/2012 | C | 49,862 | (1) | (1) | Common Stock | 91,267 | (1) | 0 | I | By Vanguard VII-A, L.P. (3) | |||
Series B Convertible Preferred Stock | (1) | 04/02/2012 | C | 17,103 | (1) | (1) | Common Stock | 31,305 | (1) | 0 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Series B Convertible Preferred Stock | (1) | 04/02/2012 | C | 7,797 | (1) | (1) | Common Stock | 14,271 | (1) | 0 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) | |||
Series C Convertible Preferred Stock | (6) | 04/02/2012 | C | 767,847 | (6) | (6) | Common Stock | 767,847 | (6) | 0 | D (2) | ||||
Series C Convertible Preferred Stock | (6) | 04/02/2012 | C | 72,927 | (6) | (6) | Common Stock | 72,927 | (6) | 0 | I | By Vanguard VII-A, L.P. (3) | |||
Series C Convertible Preferred Stock | (6) | 04/02/2012 | C | 25,014 | (6) | (6) | Common Stock | 25,014 | (6) | 0 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Series C Convertible Preferred Stock | (6) | 04/02/2012 | C | 11,403 | (6) | (6) | Common Stock | 11,403 | (6) | 0 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) | |||
Series D Convertible Preferred Stock | (6) | 04/02/2012 | C | 328,770 | (6) | (6) | Common Stock | 328,770 | (6) | 0 | D (2) | ||||
Series D Convertible Preferred Stock | (6) | 04/02/2012 | C | 31,225 | (6) | (6) | Common Stock | 31,225 | (6) | 0 | I | By Vanguard VII-A, L.P. (3) | |||
Series D Convertible Preferred Stock | (6) | 04/02/2012 | C | 10,710 | (6) | (6) | Common Stock | 10,710 | (6) | 0 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Series D Convertible Preferred Stock | (6) | 04/02/2012 | C | 4,882 | (6) | (6) | Common Stock | 4,882 | (6) | 0 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) | |||
Series E Convertible Preferred Stock | (6) | 04/02/2012 | C | 92,688 | (6) | (6) | Common Stock | 92,688 | (6) | 0 | D (2) | ||||
Series E Convertible Preferred Stock | (6) | 04/02/2012 | C | 8,803 | (6) | (6) | Common Stock | 8,803 | (6) | 0 | I | By Vanguard VII-A, L.P. (3) | |||
Series E Convertible Preferred Stock | (6) | 04/02/2012 | C | 3,019 | (6) | (6) | Common Stock | 3,019 | (6) | 0 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Series E Convertible Preferred Stock | (6) | 04/02/2012 | C | 1,376 | (6) | (6) | Common Stock | 1,376 | (6) | 0 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) | |||
Series F Convertible Preferred Stock | (6) | 04/02/2012 | C | 117,257 | (6) | (6) | Common Stock | 117,257 | (6) | 0 | D (2) | ||||
Series F Convertible Preferred Stock | (6) | 04/02/2012 | C | 11,136 | (6) | (6) | Common Stock | 11,136 | (6) | 0 | I | By Vanguard VII-A, L.P. (3) | |||
Series F Convertible Preferred Stock | (6) | 04/02/2012 | C | 3,819 | (6) | (6) | Common Stock | 3,819 | (6) | 0 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Series F Convertible Preferred Stock | (6) | 04/02/2012 | C | 1,741 | (6) | (6) | Common Stock | 1,741 | (6) | 0 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) | |||
Series E Convertible Pref St Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 27,806 | (7) | 10/19/2015 | Series E Convertible Preferred Stock (6) | 27,806 | (6) | 0 | D (2) | ||||
Common Stock Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 27,806 | (7) | 10/19/2015 | Common Stock | 27,806 | (6) | 27,806 | D (2) | ||||
Series E Convertible Pref St Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 2,641 | (7) | 10/19/2015 | Series E Convertible Preferred Stock (6) | 2,641 | (6) | 0 | I | By Vanguard VII-A, L.P. (3) | |||
Common Stock Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 2,641 | (7) | 10/19/2015 | Common Stock | 2,641 | (6) | 2,641 | I | By Vanguard VII-A, L.P. (3) | |||
Series E Convertible Pref St Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 905 | (7) | 10/19/2015 | Series E Convertible Preferred Stock (6) | 905 | (6) | 0 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Common Stock Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 905 | (7) | 10/19/2015 | Common Stock | 905 | (6) | 905 | I | By Vanguard VII Accredited Affiliates Fund, L.P. (4) | |||
Series E Convertible Pref St Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 413 | (7) | 10/19/2015 | Series E Convertible Preferred Stock (6) | 413 | (6) | 0 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) | |||
Common Stock Purchase Warrant (Right to Buy) | $ 6.61 | 04/02/2012 | C | 413 | (7) | 10/19/2015 | Common Stock | 413 | (6) | 413 | I | By Vanguard VII Qualified Affiliates Fund, L.P. (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VANGUARD VII L P C/O VANGUARD VENTURES P.O. BOX 20068 SAN JOSE, CA 95160 |
X |
/s/ Ken Shilling, by Power of Attorney for Vanguard VII Venture Partners, LLC, its general partner | 04/04/2012 | |
**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 B Convertible Preferred Stock converted into 1.8304174 shares of common stock upon the completion of the Issuer's initial public offering and had no expiration date. |
(2) | Shares are held directly by Vanguard VII, L.P. ("V7 LP"). |
(3) | Shares are held directly by Vanguard VII-A, L.P. ("V7A LP"). |
(4) | Shares are held directly by Vanguard VII Accredited Affiliates Fund, L.P. ("Accredited"). |
(5) | Shares are held directly by Vanguard VII Qualified Affiliates Fund, L.P. ("Qualified"). |
(6) | Each share of Series C, Series D, Series E and Series F Convertible Preferred Stock converted into one share of common stock upon the completion of the Issuer's initial public offering and had no expiration date. |
(7) | Immediately exercisable. |
Remarks: Donald F. Wood, Dan Eilers, Jack Gill, Tom McConnell, and Bob Ulrich are the managing members of Vanguard VII Venture Partners, LLC ("VVP"), which serves as the general partner to each of V7 LP, V7A LP, Accredited and Qualified (the "Vanguard V Funds"), and may be deemed to share voting and dispositive power over the shares held by the Vanguard Funds. The reporting person and the managing members disclaim the existence of a "group" and disclaim beneficial ownership of any securities except to the extent of their pecuniary interest in such securities. The filing of this report is not an admission that the Vanguard Funds, VVP or each of its managing members is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. *This report is one of two reports, each on a separate Form 4, but relating to the same transaction being filed by the Vanguard Funds and the managing members of VVP.* |