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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-6 Preferred Stock | (1) | 05/31/2011 | C | 1,428,810 | (1) | (1) | Common Stock | 1,428,810 | $ 0 | 0 | I | See footnotes (3) (8) | |||
Series C Preferred Stock | (1) | 05/31/2011 | C | 1,895,519 | (1) | (1) | Common Stock | 1,895,519 | $ 0 | 0 | I | See footnotes (3) (4) (9) | |||
Series D Preferred Stock | (1) | 05/31/2011 | C | 913,175 | (1) | (1) | Common Stock | 913,175 | $ 0 | 0 | I | See footnotes (3) (4) (10) | |||
Series E Preferred Stock | (1) | 05/31/2011 | C | 1,875,705 | (1) | (1) | Common Stock | 1,875,705 | $ 0 | 0 | I | See footnotes (3) (4) (5) (11) | |||
Series F Preferred Stock | (1) | 05/31/2011 | C | 820,163 | (1) | (1) | Common Stock | 820,163 | $ 0 | 0 | I | See footnotes (3) (4) (5) (12) | |||
Series E Preferred Stock | (1) | 05/31/2011 | C | 12,112 | (1) | (1) | Common Stock | 12,112 | $ 0 | 0 | D | ||||
Series F Preferred Stock | (1) | 05/31/2011 | C | 11,434 | (1) | (1) | Common Stock | 11,434 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREEN L STEPHEN C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | X | ||
BALEN JOHN V C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
DEEPAK KAMRA C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
KOPCHINSKY GREGORY C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
RUSSO GUY M C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
YOUNG ERIC A C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
Charmers Landing LLC C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
Stonehenge LLC C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
Waubeeka LLC C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X | |||
RUDNICK SETH C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT, CT 06880 |
X |
See Signatures on Exhibit | 06/02/2011 | |
**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) | Immediately prior to the closing of the initial public offering of the Issuer's Common Stock the reported shares of Preferred Stock were converted to Common Stock based on the conversion ratio as set forth in the Issuer's Certificate of Incorporation. |
(2) | Consists of 124,857 shares held by Canaan Equity II Entrepreneurs LLC, 1,572,748 shares held by Canaan Equity II L.P., 703,533 shares held by Canaan Equity II L.P. (QP), 78,862 shares held by Canaan Equity III Entrepreneurs LLC, 2,111,791 shares held by Canaan Equity III L.P. and 2,341,581 shares held by Canaan Equity VII L.P. L.P. |
(3) | John V. Balen, Stephen L. Green, Deepak Karma, Gregory Kopchinsky, Guy M. Russo, Eric A. Young (the "Canaan II Individuals"), Charmers Landing LLC ("Charmers"), Stonehenge LLC ("Stonehenge") and Waubeeka LLC ("Waubeeka") are managers of Canaan Equity Partners II LLC which is (a) the sole Manager of Canaan Equity II Entrepreneurs LLC and (b) the sole General Partner of each of Canaan Equity II L.P and Canaan Equity II L.P. (QP). The sole managers of Charmers, Stonehenge and Waubeeka are Mr. Green, Mr. Kopchinsky and Mr. Russo, respectively. The Canaan II Individuals may be deemed to have shared voting, investment and dispositive power with respect to these shares, but disclaim beneficial ownership of all shares except to the extent of any pecuniary interest therein. |
(4) | John V. Balen, Stephen L. Green, Deepak Karma, Gregory Kopchinsky, Seth A. Rudnick, Guy M. Russo, and Eric A. Young are Managers of Canaan Equity Partners III LLC which is (a) the sole Manager of Canaan Equity III Entrepreneurs LLC and (b) the sole General Partner of Canaan Equity III L.P. Such individuals may be deemed to have shared voting, investment and dispositive power with respect to these shares, but disclaim beneficial ownership of all shares except to the extent of any pecuniary interest therein. |
(5) | Brenton K. Ahrens, John V. Balen, Maha S. Ibrahim, Deepak Karma, Gregory Kopchinsky, Seth A. Rudnick, Guy M. Russo, Eric A. Young, Wende Hutton and Stephen Bloch are Managers of Canaan Partners VII LLC which is the sole General Partner of Canaan VII L.P. Such individuals may be deemed to have shared voting, investment and dispositive power with respect to these shares, but disclaim beneficial ownership of all shares except to the extent of any pecuniary interest therein. Mr. Green is a member of Canaan Partners VII LLC, does not have voting or dispositive power over the shares held by Canaan VII L.P., and disclaims beneficial ownership of the shares held by Canaan VII L.P. except to the extent of his pecuniary interest therein. |
(6) | Consists of 24,701 shares held by Canaan Equity II Entrepreneurs LLC, 311,153 shares held by Canaan Equity II L.P., 139,187 shares held by Canaan Equity II L.P. (QP), 15,602 shares held by Canaan Equity III Entrepreneurs LLC, 417,798 shares held by Canaan Equity III L.P. and 463,260 shares held by Canaan VII L.P. |
(7) | Consists of 100,156 shares held by Canaan Equity II Entrepreneurs LLC, 1,261,595 shares held by Canaan Equity II L.P., 564,346 shares held by Canaan Equity II L.P. (QP), 63,260 shares held by Canaan Equity III Entrepreneurs LLC, 1,693,993 shares held by Canaan Equity III L.P. and 1,878,321 shares held by Canaan VII L.P. |
(8) | Consists of 74,298 shares held by Canaan Equity II Entrepreneurs LLC, 935,871 shares held by Canaan Equity II L.P. and 418,641 shares held by Canaan Equity II L.P. (QP). |
(9) | Consists of 16,427 shares held by Canaan Equity II Entrepreneurs LLC, 206,927 shares held by Canaan Equity II L.P., 92,564 shares held by Canaan Equity II L.P. (QP), 56,865 shares held by Canaan Equity III Entrepreneurs LLC and 1,522,736 shares held by Canaan Equity III L.P. |
(10) | Consists of 24,921 shares held by Canaan Equity II Entrepreneurs LLC, 313,921 shares held by Canaan Equity II L.P., 140,425 shares held by Canaan Equity II L.P. (QP), 15,620 shares held by Canaan Equity III Entrepreneurs LLC and 418,288 shares held by Canaan Equity III L.P. |
(11) | Consists of 7,410 shares held by Canaan Equity II Entrepreneurs LLC, 93,334 shares held by Canaan Equity II L.P., 41,751 shares held by Canaan Equity II L.P. (QP), 5,130 shares held by Canaan Equity III Entrepreneurs LLC, 137,365 shares held by Canaan Equity III L.P. and 1,590,715 shares held by Canaan VII L.P. |
(12) | Consists of 1,801 shares held by Canaan Equity II Entrepreneurs LLC, 22,695 shares held by Canaan Equity II L.P., 10,152 shares held by Canaan Equity II L.P. (QP), 1,247 shares held by Canaan Equity III Entrepreneurs LLC, 33,402 shares held by Canaan Equity III L.P. and 750,866 shares held by Canaan VII L.P. |
Remarks: This filing is the second of three Form 4s filed by the joint filers. Multiple forms are required because there are more than ten joint filers. Exhibit List: Exhibit 99.1 - Signatures of joint filers |