SEC Form 4 · accession 0001544110-15-000001
VOCERA COMMUNICATIONS, INC. · VCRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian D. Ascher
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 2, 2015 · 8:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001129260
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 1, 2015 | A | 8,910 | $0.00 | A | 16,730 | D | |
| Common StockF3,F4 | holding | — | — | — | 1,669,763 | I | Fy Funds and LLC | |
| Common StockF2 | holding | — | — | — | 7,092 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock unit award that shall fully vest on June 1, 2016.
- F2The reporting person is a member of VR Management, LLC (the "Management Company"). Under an agreement between the reporting person and the Management Company, the reporting person is deemed to hold the reported shares for the sole benefit of the Management Company, which is entitled to the shares. The Management Company may be deemed the indirect beneficial owner of the shares, and the reporting person may be deemed the indirect beneficial owner of the shares through his interest in the Management Company. The reporting person disclaims beneficial ownership of the shares except to the extent of his indirect pecuniary interest therein.
- F3Represents an aggregate of 1,331,588 shares held by Venrock Associates III, L.P. ("VA3"), 300,909 shares held by Venrock Associates, L.P. ("VA"), 33,433 shares held by Venrock Entrepreneurs Fund III, L.P. ("VEF3") and 3,833 shares held by Venrock Management III, LLC ("VM3").
- F4VM3 and VEF Management III, LLC ("VEFM3") are the sole general partners of VA3 and VEF3, respectively, and may be deemed to beneficially own the shares held by VA3 and VEF3, respectively. VM3 and VEFM3 expressly disclaim beneficial ownership over all shares held by VA3 and VEF3, respectively, except to the extent of their indirect pecuniary interests therein.