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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FOUNDATION CAPITAL MANAGEMENT CO IV LLC 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner | |||
FOUNDATION CAPITAL IV LP 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner | |||
FC IV ACTIVE ADVISORS FUND LLC 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner | |||
Foundation Capital IV Principals Fund, LLC 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner | |||
FOUNDATION CAPITAL VI LP 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner | |||
Foundation Capital VI Principals Fund, LLC 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner | |||
Foundation Capital Management Co. VI, LLC 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
Former 10% Owner |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. | 08/09/2016 | |
**Signature of Reporting Person | Date | |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. which serves as General Partner of Foundation Capital IV, L.P. | 08/09/2016 | |
**Signature of Reporting Person | Date | |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. which serves as Manager of FC IV Active Advisors Fund, LLC | 08/09/2016 | |
**Signature of Reporting Person | Date | |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. IV, L.L.C. which serves as Manager of Foundation Capital IV Principals Fund, LLC | 08/09/2016 | |
**Signature of Reporting Person | Date | |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. VI, L.L.C. which serves as the General Partner of Foundation Foundation Capital VI, L.P. | 08/09/2016 | |
**Signature of Reporting Person | Date | |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. VI, L.L.C. which serves as Manager of Foundation Capital VI Principals Fund, L.L.C. | 08/09/2016 | |
**Signature of Reporting Person | Date | |
/s/ David Singer as Attorney-in-Fact for Foundation Capital Management Co. VI, L.L.C. | 08/09/2016 | |
**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) | Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Foundation Capital IV, L.P. effected following the close of the trading market on August 5, 2016 without consideration to its limited partners. |
(2) | Foundation Capital Management Co. IV, L.L.C. serves as the general partner of Foundation Capital IV, L.P. and the manager of FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC are under common control by Foundation Capital Management Co. IV, L.L.C. As such, Foundation Capital Management Co. IV, L.L.C. has sole voting and investment control over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC, and may be deemed to beneficially own the shares held by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Foundation Capital Management Co. IV, L.L.C. disclaims beneficial ownership of the shares reported herein, except to the extent of its pecuniary interest therein. |
(3) | Foundation Capital Management Co. VI, L.L.C. serves as the general partner of Foundation Capital VI, L.P. and the manager of Foundation Capital VI Principals Fund, LLC. Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC are under common control by Foundation Capital Management Co. VI, L.L.C. As such, Foundation Capital Management Co. VI, L.L.C. has sole voting and investment control over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC, and may be deemed to beneficially own the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Foundation Capital Management Co. VI, L.L.C. disclaims beneficial ownership of the shares reported herein, except to the extent of its pecuniary interest therein. |