SEC Form 4 · accession 0001209191-15-051221
SERVICESOURCE INTERNATIONAL, INC. · SREV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry D. Reynolds
Director
Period of report
Jun 4, 2015
Accepted (ET)
Jun 8, 2015 · 8:46 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 | Jun 4, 2015 | J | 19,980 | — | D | 0 | D | |
| Common StockF2,F3 | Jun 4, 2015 | A | 37,251 | $0.00 | A | 37,251 | D | |
| Common StockF1,F4 | Jun 4, 2015 | J | 11,453 | — | A | 3,885,756 | I | By Housatonic Micro Fund SBIC, LP |
| Common StockF1,F5 | Jun 4, 2015 | J | 8,151 | — | A | 2,765,473 | I | By Housatonic Equity Investors IV, LP |
| Common StockF1,F6 | Jun 4, 2015 | J | 376 | — | A | 127,487 | I | By Housatonic Equity Affiliates IV, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the transfer of shares received by the Reporting Person upon the vesting and settlement of restricted stock units ("RSUs") granted to the Reporting Person for service on the issuer's board of directors on June 5, 2014, for no additional consideration, as follows: 8,151 shares to Housatonic Equity Investors IV, L.P. ("HEI IV"); 376 shares to Housatonic Equity Affiliates IV, L.P. ("HEA IV"); and 11,453 shares to Housatonic Micro Fund SBIC, L.P. ("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.
- F2The reported shares are represented by RSUs. All of the RSUs vest on May 28, 2016.
- F3Pursuant to the policies of Housatonic Partners, the Reporting Person is deemed to hold the reported securities for the benefit of HEI IV, HEA IV and 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.
- F4The securities are owned by HMF SBIC. The Reporting Person is a 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 these 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.