SEC Form 4 · accession 0001544110-16-000002
VOCERA COMMUNICATIONS, INC. · VCRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian D. Ascher
Director
Period of report
Feb 17, 2016
Accepted (ET)
Feb 19, 2016 · 5:49 pm EST
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,F3 | Feb 17, 2016 | S | 237,699 | $14.25 | D | 1,432,064 | I | By Funds and LLC |
| Common StockF4,F5,F3 | Feb 18, 2016 | S | 112,301 | $13.82 | D | 1,319,763 | I | Fy Funds and LLC |
| Common StockF6,F7,F3 | Feb 19, 2016 | S | 150,000 | $13.71 | D | 1,169,763 | I | By Funds and LLC |
| Common StockF8 | holding | — | — | — | 16,730 | D | ||
| Common StockF8 | holding | — | — | — | 7,092 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.09 to $14.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (4) and (6) to this Form 4.
- F2Represents an aggregate of 1,141,595 shares held by Venrock Associates III, L.P. ("VA3"), 257,981 shares held by Venrock Associates, L.P. ("VA"), 28,655 shares held by Venrock Entrepreneurs Fund III, L.P. ("VEF3") and 3,833 shares held by Venrock Management III, LLC ("VM3").
- F3VM3 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.70 to $14.16, inclusive.
- F5Represents an aggregate of 1,051,833 shares held by VA3, 237,699 shares held by VA, 26,398 shares held by VEF3 and 3,833 shares held by VM3.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.49 to $14.02, inclusive.
- F7Represents an aggregate of 931,938 shares held by VA3, 210,609 shares held by VA, 23,383 shares held by VEF3 and 3,833 shares held by VM3.
- F8The 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.