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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 Preferred Stock | (1) | 03/27/2013 | C | 206,164 | (1) | (3) | Common Stock | 206,164 | $ 0 | 0 | I | Held by DAG Ventures IV, L.P. (2) | |||
Series D Preferred Stock | (1) | 03/27/2013 | C | 69,072 | (1) | (3) | Common Stock | 69,072 | $ 0 | 0 | I | Held by DAG Ventures IV, L.P. (2) | |||
Series E Preferred Stock | (1) | 03/27/2013 | C | 16,918 | (1) | (3) | Common Stock | 16,918 | $ 0 | 0 | I | Held by DAG Ventures IV, L.P. (2) | |||
Series F Preferred Stock | (1) | 03/27/2013 | C | 19,433 | (1) | (3) | Common Stock | 19,433 | $ 0 | 0 | I | Held by DAG Ventures IV, L.P. (2) | |||
Series F-1 Preferred Stock | (1) | 03/27/2013 | C | 17,371 | (1) | (3) | Common Stock | 17,371 | $ 0 | 0 | I | Held by DAG Ventures IV, L.P. (2) | |||
Series C Preferred Stock | (1) | 03/27/2013 | C | 359,492 | (1) | (3) | Common Stock | 359,492 | $ 0 | 0 | I | Held by DAG Ventures IV-A, LLC (2) | |||
Series C Preferred Stock | (1) | 03/27/2013 | C | 1,950,791 | (1) | (3) | Common Stock | 1,950,791 | $ 0 | 0 | I | Held by DAG Ventures IV-QP, L.P. (2) | |||
Series D Preferred Stock | (1) | 03/27/2013 | C | 653,588 | (1) | (3) | Common Stock | 653,588 | $ 0 | 0 | I | Held by DAG Ventures IV-QP, L.P. (2) | |||
Series E Preferred Stock | (1) | 03/27/2013 | C | 160,086 | (1) | (3) | Common Stock | 160,086 | $ 0 | 0 | I | Held by DAG Ventures IV-QP, L.P. (2) | |||
Series F Preferred Stock | (1) | 03/27/2013 | C | 183,882 | (1) | (3) | Common Stock | 183,882 | $ 0 | 0 | I | Held by DAG Ventures IV-QP, L.P. (2) | |||
Series F-1 Preferred Stock | (1) | 03/27/2013 | C | 164,372 | (1) | (3) | Common Stock | 164,372 | $ 0 | 0 | I | Held by DAG Ventures IV-QP, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DAG Ventures Management IV, LLC 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
DAG Ventures IV, L.P. 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
DAG Ventures IV-QP, L.P. 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
DAG Ventures IV-A, LLC 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
Cadeddu John J. 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
Chung Young J. 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
Goodrich R. Thomas 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
Pianim Nicholas K. 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X | |||
Williams Greg 251 LYTTON AVENUE, SUITE 200 PALO ALTO, CA 94301 |
X |
/s/ R. Thomas Goodrich as Managing Director of DAG Ventures Management IV, LLC, the General Partner of DAG Ventures IV, L.P. | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich as Managing Director of DAG Ventures Management IV, LLC, the General Partner of DAG Ventures IV-QP, L.P. | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich as Managing Director of DAG Ventures Management IV, LLC, the Manager of DAG Ventures IV-A, LLC | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich, by power of attorney for John J. Cadeddu | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich, by power of attorney for Young J. Chung | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich, by power of attorney for Nicholas K. Pianim | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich, by power of attorney for Greg Williams | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich as Managing Director of DAG Ventures Management IV, LLC | 03/27/2013 | |
**Signature of Reporting Person | Date | |
/s/ R. Thomas Goodrich | 03/27/2013 | |
**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) | In connection with the closing of the Issuer's initial public offering of Common Stock on March 27, 2013, each share of Preferred Stock automatically converted into one (1) share of the Issuer's Common Stock for no additional consideration. All shares of Common Stock issued upon conversion were aggregated. |
(2) | DAG Ventures Management IV, LLC ("DAG IV LLC") serves as the General Partner of DAG Ventures IV, L.P. ("DAG IV") and DAG Ventures IV-QP, L.P. ("DAG IV-QP"), and serves as the Manager of DAG Ventures IV-A, LLC ("DAG IV-A"), and possesses power to direct the voting and disposition of the securities held by such entities. DAG IV LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein. John J. Cadeddu, R. Thomas Goodrich, Young J. Chung, Nicholas K. Pianim and Greg Williams are Managing Directors of DAG IV LLC. As such, each of such individuals possesses power to direct the voting and disposition of the shares held of record by DAG IV, DAG IV-A and DAG IV-QP. Each of such individuals disclaims beneficial ownership of such securities except to the extent of his or her pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities. |
(3) | None. |