SEC Form 4 · accession 0001104659-18-028723
NLIGHT, INC. · LASR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 30, 2018
Accepted (ET)
Apr 30, 2018 · 6:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001124796
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4,F5,F11,F12 | Apr 30, 2018 | C | 5,520,270 | — | A | 5,547,084 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF6,F12,F1 | — | Apr 30, 2018 | C | 1,389,868 | D | — | — | Common Stock | 1,389,868 | 0 | D |
| Series D Preferred StockF7,F12,F2 | — | Apr 30, 2018 | C | 1,742,711 | D | — | — | Common Stock | 1,742,711 | 0 | D |
| Series E Preferred StockF8,F12,F3 | — | Apr 30, 2018 | C | 401,632 | D | — | — | Common Stock | 401,632 | 0 | D |
| Series F Preferred StockF9,F12,F4 | — | Apr 30, 2018 | C | 1,652,087 | D | — | — | Common Stock | 1,652,087 | 0 | D |
| Series G Preferred StockF10,F12,F5 | — | Apr 30, 2018 | C | 333,972 | D | — | — | Common Stock | 333,972 | 0 | D |
Explanation of responses
- F1The Series C Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering. The shares had no expiration date.
- F10Consists of 328,696 shares held of record by Oak Investment Partners X, L.P., and 5,276 shares held of record by Oak X Affiliates Fund, L.P.
- F11Consists of 5,459,446 shares held of record by Oak Investment Partners X, L.P., and 87,638 shares held of record by Oak X Affiliates Fund, L.P.
- F12Oak Associates X, LLC, or Oak Associates X GP is the general partner of Oak Investment Partners X, LP. Oak X Affiliates, LLC, or Oak X Affiliates GP, is the general partner of Oak X Affiliates Fund, L.P., and the managing members of Oak Associates X GP and Oak X Affiliates GP are Bandel L. Carano, Edward F. Glassmeyer, Frederic W. Harman and Ann H. Lamont. These individuals may be deemed to have shared voting and investment power over the shares held by Oak Investment Partners X, L.P. and Oak X Affiliates Fund, L.P. Each of these individuals disclaims beneficial ownership of such shares and this report shall not be deemed an admission that the Reporting Person or its managing members are the beneficial owner of such securities for Section 16 or any other purpose.
- F2The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering. The shares had no expiration date.
- F3The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering. The shares had no expiration date.
- F4The Series F Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering. The shares had no expiration date.
- F5The Series G Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering. The shares had no expiration date.
- F6Consists of 1,367,908 shares held of record by Oak Investment Partners X, L.P., and 21,960 shares held of record by Oak X Affiliates Fund, L.P.
- F7Consists of 1,715,177 shares held of record by Oak Investment Partners X, L.P., and 27,534 shares held of record by Oak X Affiliates Fund, L.P.
- F8Consists of 395,287 shares held of record by Oak Investment Partners X, L.P., and 6,345 shares held of record by Oak X Affiliates Fund, L.P.
- F9Consists of 1,625,696 shares held of record by Oak Investment Partners X, L.P., and 26,101 shares held of record by Oak X Affiliates Fund, L.P.