SEC Form 4 · accession 0001225208-15-020843
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tench Coxe
Director · 10% Owner
Period of report
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 6:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094348
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 9, 2015 | P | 1,000,000 | $7.29 | A | 1,283,497 | I | By Ltd Partnership (ROOS) |
| Common StockF3 | holding | — | — | — | 78,494 | D | ||
| Common StockF4 | holding | — | — | — | 1,443,889 | I | By Ltd Partnership (SHV) | |
| Common StockF5 | holding | — | — | — | 73,411 | I | By Profit Sharing Plan Trust | |
| Common StockF6 | holding | — | — | — | 393,160 | I | By Trust (Trustees) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were purchased from Sutter Hill Ventures, a California Limited Partnership ("SHV"). The reporting person is a managing director and member of the management committee of the General Partner of SHV and previously reported beneficial ownership of these shares indirectly through SHV, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in SHV. For purposes of Section 16, the purchase of these shares by the reporting person's family limited partnership constituted (i) a change in the form of ownership of the shares previously owned by the reporting person from one form of indirect ownership to another, and (ii) with respect to the remaining portion of shares sold by SHV, a purchase by the reporting person's family limited partnership. Following this transaction, SHV continues to hold 1,443,889 shares of common stock of the Issuer, as described in footnote (4) below.
- F2Shares held by a limited partnership of which the reporting person is a trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.
- F3The reporting person shares pecuniary interest in these shares with other individuals pursuant to a contractual relationship. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.
- F4Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a managing director and member of the management committee of the General Partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.
- F5Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
- F6Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in these shares.