SEC Form 4 · accession 0001104659-18-028724
NLIGHT, INC. · LASR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
MV MANAGEMENT IX LLC
10% Owner
MENLO VENTURES IX LP
10% Owner
MMEF IX LP
10% Owner
MENLO ENTREPRENEURS FUND IX LP
10% Owner
MENLO ENTREPRENEURS FUND IX A LP
10% Owner
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 | 5,934,216 | — | A | 5,961,028 | 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 | 1,389,860 | D | — | — | Common Stock | 1,389,860 | 0 | D |
| Series D Preferred StockF7,F12,F2 | — | Apr 30, 2018 | C | 1,415,912 | D | — | — | Common Stock | 1,415,912 | 0 | D |
| Series E Preferred StockF8,F12,F3 | — | Apr 30, 2018 | C | 267,754 | D | — | — | Common Stock | 267,754 | 0 | D |
| Series F Preferred StockF9,F12,F4 | — | Apr 30, 2018 | C | 2,526,719 | D | — | — | Common Stock | 2,526,719 | 0 | D |
| Series G Preferred StockF10,F12,F5 | — | Apr 30, 2018 | C | 333,971 | D | — | — | Common Stock | 333,971 | 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 315,445 shares held of record by Menlo Ventures IX, L.P., 10,409 shares held of record by Menlo Entrepreneurs Fund IX, L.P., 1,497 shares held of record by Menlo Entrepreneurs Fund IX(A), L.P. and 6,620 shares held of record by MMEF IX, L.P.
- F11Consists of 5,630,342 shares held of record by Menlo Ventures IX, L.P., 185,792 shares held of record by Menlo Entrepreneurs Fund IX, L.P., 26,723 shares held of record by Menlo Entrepreneurs Fund IX(A), L.P. and 118,171 shares held of record by MMEF IX, L.P.
- F12MV Management IX, L.L.C. is the general partner of Menlo Ventures IX, L.P., Menlo Entrepreneurs Fund IX, L.P., Menlo Entrepreneurs Fund IX(A), L.P. and MMEF IX, L.P. (collectively, the "Menlo Funds"), and the managing members of the general partner are H. DuBose Montgomery, John W. Jarve, Douglas C. Carlisle, Mark A. Siegel and Shawn T. Carolan. These individuals may be deemed to have shared voting and investment power over the shares held by the Menlo Funds. 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 1,317,410 shares held of record by Menlo Ventures IX, L.P., 43,470 shares held of record by Menlo Entrepreneurs Fund IX, L.P., 5,268 shares held of record by Menlo Entrepreneurs Fund IX(A), L.P. and 23,712 shares held of record by MMEF IX, L.P.
- F7Consists of 1,335,768 shares held of record by Menlo Ventures IX, L.P., 44,080 shares held of record by Menlo Entrepreneurs Fund IX, L.P., 6,678 shares held of record by Menlo Entrepreneurs Fund IX(A), L.P. and 29,386 shares held of record by MMEF IX, L.P.
- F8Consists of 252,599 shares held of record by Menlo Ventures IX, L.P., 8,335 shares held of record by Menlo Entrepreneurs Fund IX, L.P., 1,263 shares held of record by Menlo Entrepreneurs Fund IX(A), L.P. and 5,557 shares held of record by MMEF IX, L.P.
- F9Consists of 2,383,702 shares held of record by Menlo Ventures IX, L.P., 78,660 shares held of record by Menlo Entrepreneurs Fund IX, L.P., 11,917 shares held of record by Menlo Entrepreneurs Fund IX(A), L.P. and 52,440 shares held of record by MMEF IX, L.P.