SEC Form 4 · accession 0001225208-15-021316
Mattersight Corp · MATR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey W Bird
10% Owner
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 5:38 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 StockF2 | Nov 19, 2015 | J | 319,847 | $0.00 | D | 1,124,042 | I | By Ltd Partnership (SHV) |
| Common StockF3 | Nov 19, 2015 | J | 49,759 | $0.00 | A | 71,840 | I | By Trust (Trustees) |
| Common StockF4 | holding | — | — | — | 92,368 | I | By Ltd Partnership (NEST) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF2,F5,F6,F7 | — | Nov 19, 2015 | J | 96,261 | D | — | — | Common Stock | 96,261 | 639,253 | I |
| Series B Preferred StockF3,F5,F6,F7 | — | Nov 19, 2015 | J | 14,976 | A | — | — | Common Stock | 14,976 | 46,823 | I |
Explanation of responses
- F1Distribution of shares without consideration to the managing directors of the General Partner of Sutter Hill Ventures, a California Limited Partnership, in accordance with the partnership agreement.
- F2Shares 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.
- F3Shares 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 the trust.
- F4Shares 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 therein.
- F5Each share of preferred stock is convertible, at the reporting person's discretion, without consideration into one (1) share of common stock.
- F6Immediate.
- F7None.