SEC Form 4 · accession 0001104659-15-040771
YODLEE INC · YDLE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick T Hackett
Director
Period of report
May 21, 2015
Accepted (ET)
May 26, 2015 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001161315
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 21, 2015 | M | 3,448 | $0.001 | A | 3,448 | D | |
| Common StockF2,F3,F4 | holding | — | — | — | 8,160,691 | I | See Footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F5 | $0.001 | May 21, 2015 | M | 3,448 | D | — | — | Common Stock | 3,448 | 0 | D |
| Stock Option (Right to buy)F6 | $13.71 | May 21, 2015 | A | 11,434 | A | — | — | Common Stock | 11,434 | 11,434 | D |
| Restricted Stock UnitF1,F7 | $0.001 | May 21, 2015 | A | 3,177 | A | — | — | Common Stock | 3,177 | 3,177 | D |
Explanation of responses
- F1Represents par value of Yodlee, Inc. common stock.
- F2Includes 7,908,536 shares held by Warburg Pincus Private Equity VIII, L.P., a Delaware limited partnership ("WP VIII"), 229,237 shares held by Warburg Pincus Netherlands Private Equity VIII C.V. I, a Netherlands commanditaire vennootschap ("WP VIII Netherlands"), and 22,918 shares held by WP-WP VIII Investors, L.P., a Delaware limited partnership ("WP VIII Investors", and together with WP VIII and WP VIII Netherlands, the "WP VIII Funds") continued below.
- F3WP-WPVIII Investors GP L.P., a Delaware limited partnership ("WP VIII Investors GP"), is the general partner of WP VIII Investors. WPP GP LLC, a Delaware limited liability company ("WPP GP"), is the general partner of WP VIII Investors GP. Warburg Pincus Partners, L.P., a Delaware limited partnership ("WP Partners"), is the general partner of WP VIII and WP VIII Netherlands and the managing member of WPP GP. Warburg Pincus Partners GP LLC, a Delaware limited liability company ("WP GP LLC"), is the general partner of WP Partners. Warburg Pincus & Co., a New York general partnership ("WP"), is the managing member of WP GP LLC and Warburg Pincus LLC, a New York limited liability company ("WP LLC"), is the manager of the WP VIII Funds.
- F4The reporting person is a partner of WP and a member and managing director of WP LLC, and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
- F5100% of the restricted stock unit granted on December 1, 2014 became vested and exercisable on May 21, 2016 and shares were delivered to reporting person on the vest date.
- F6100% of the shares subject to the option shall become vested and exercisable on the earlier of May 21, 2016 or the date of the issuer's annual meeting of stockholders in 2016.
- F7100% of the restricted stock unit shall become vested and exercisable on the earlier of May 21, 2106 or the date of the issuer's annual meeting of stockholders in 2016.