UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 130,339 | $ 0 | D (4) | Â |
Series A1 Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 51,223 | $ 0 | D (4) | Â |
Series C Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 1,649,919 | $ 0 | D (4) | Â |
Series D Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 489,752 | $ 0 | D (4) | Â |
Series A Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 4,170 | $ 0 | I | Directly owned by AFF X (4) |
Series A1 Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 1,639 | $ 0 | I | Directly owned by AFF X (4) |
Series C Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 52,784 | $ 0 | I | Directly owned by AFF X (4) |
Series D Preferred Stock (1) | Â (2) | Â (3) | Class A Common Stock | 15,668 | $ 0 | I | Directly owned by AFF X (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
US VENTURE PARTNERS X LP 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
USVP X AFFILIATES LP 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
FEDERMAN IRWIN 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
KRAUSZ STEVEN M 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
Lewis Richard W. 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
Matteucci Paul A 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
ROOT JONATHAN D 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
Tansey Casey M 2735 SAND HILL ROAD MENLO PARK, CA 94025 |
 |  X |  |  |
Michael P. Maher | 03/13/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The Series A, Series A1, Series C and Series D Convertible Preferred Stock will automatically convert into Class A Common Stock on a one-for-one basis immediately prior to the completion of the Issuer's initial public offering. |
(2) | The securities are immediately convertible. |
(3) | The expiration date is not relevant to the conversion of these securities. |
(4) | The reported securities are owned directly by each of U.S. Venture Partners X, L.P. ("USVP X") and USVP X Affiliates Fund, L.P. ("AFF X") and together with USVP X and AFF X, the "USVP X Funds"). Presidio Management Group X, LLC ("PMG X") is the general partner of each of USVP X and AFF X and may be deemed to have sole voting and dispositive power over the shares held by the USVP X Funds. PMG X and each of Irwin Federman, Steven M. Krausz, Richard W. Lewis, Paul A Matteucci, Jonathan D. Root and Casey M. Tansey, the managing members of PMG X, may be deemed to share voting and dispositive power over the reported shares. Such persons and entities disclaim beneficial ownership of shares held by the USVP X Funds, except to the extent of any proportionate pecuniary interest therein. |