SEC Form 4 · accession 0001123292-18-000737
SERVICESOURCE INTERNATIONAL, INC. · SREV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry D. Reynolds
Director
Period of report
May 16, 2018
Accepted (ET)
May 18, 2018 · 6:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001310114
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 16, 2018 | A | 35,366 | $0.00 | A | 70,617 | D | |
| Common StockF3 | May 18, 2018 | J | 35,251 | — | D | 35,366 | D | |
| Common StockF3,F4 | May 18, 2018 | J | 20,207 | — | A | 3,946,412 | I | By Housatonic Micro Fund SBIC, LP |
| Common StockF3,F5 | May 18, 2018 | J | 14,381 | — | A | 2,808,642 | I | By Housatonic Equity Investors IV, LP |
| Common StockF3,F6 | May 18, 2018 | J | 663 | — | A | 129,478 | I | By Housatonic Equity Affiliates IV, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares are represented by restricted stock units or RSUs. All of the RSUs vest on May 16, 2019.
- F2Pursuant to the policies of Housatonic Partners, the Reporting Person is deemed to hold the reported securities for the benefit of Housatonic Equity Investors IV, L.P. ("HEI IV"), Housatonic Equity Affiliates IV, L.P. ("HEA IV") and Housatonic Micro Fund SBIC, L.P. ("HMF SBIC"). Accordingly, HEI IV, HEA IV and HMF SBIC may be deemed the indirect beneficial owners of the securities. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.
- F3Represents the transfer of shares received by the Reporting Person upon the vesting and settlement of RSUs granted to the Reporting Person for service on the issuer's board of directors on May 16, 2018, for no additional consideration, as follows: 14,381 shares to HEI IV, 663 shares to HEA IV, and 20,207 shares to HMF SBIC. Pursuant to the policies of Housatonic Partners, the Reporting Person was deemed to hold these securities for the benefit of HEI IV, HEA IV and HMF SBIC.
- F4The securities are owned by HMF SBIC. The Reporting Person is Manager of Housatonic Micro Partners SBIC, L.L.C. which serves as the general partner of HMF SBIC. As such, the Reporting Person may be deemed to have indirect beneficial ownership of the shares held by HMF SBIC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.
- F5The securities are owned by HEI IV. The Reporting Person is a Manager of Housatonic Equity Partners IV, L.L.C. ("HEP IV") which serves as the general partner of HEI IV. As such, the Reporting Person may be deemed to have indirect beneficial ownership of the shares held by HEI IV. The Reporting Person disclaims beneficial ownership of the securities except to the extent of his proportionate pecuniary interest therein.
- F6The securities are owned by HEA IV. The Reporting Person is a Manager of HEP IV which serves as the general partner of HEA IV. As such, the Reporting Person may be deemed to have indirect beneficial ownership of the shares held by HEA IV. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his proportionate pecuniary interest therein.