SEC Form 4 · accession 0001209191-15-062090

OOMA INC · OOMA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

James Wei

Director · 10% Owner

Period of report

Jul 22, 2015

Accepted (ET)

Jul 22, 2015 · 7:53 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001327688

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Jul 22, 2015	C	5,957,128	$0.00	A	6,101,150	I	By entities associated with Worldview Technology Partners
Common Stock^F1	Jul 22, 2015	C	400,000	$0.00	A	6,501,150	I	By entities associated with Worldview Technology Partners
Common Stock^F1	Jul 22, 2015	C	208,360	$0.00	A	6,709,510	I	By entities associated with Worldview Technology Partners
Common Stock	holding	—	—		—	47,948	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series Alpha Convertible Preferred Stock^F1,F2	—	Jul 22, 2015	C	5,957,128	D	—	—	Common Stock	5,957,128	I
Series Alpha-1 Convertible Preferred Stock^F1,F3	—	Jul 22, 2015	C	400,000	D	—	—	Common Stock	400,000	I
Series Beta Convertible Preferred Stock^F1,F4	—	Jul 22, 2015	C	95,814	D	—	—	Common Stock	208,360	I

Explanation of responses

F1Shares held directly by Worldview Strategic Partners IV, L.P. ("Strategic IV"), Worldview Technology International IV, L.P. ("International IV") and Worldview Technology Partners IV, L.P. ("Technology IV" and, together with Strategic IV and International IV, the "Worldview IV Funds"). Worldview Capital IV, L.P., the general partner of each of the Worldview IV Funds, and Worldview Equity I, L.L.C., the general partner of Worldview Capital IV, L.P., may each be deemed to have sole voting and dispositive power over the shares held by the Worldview IV Funds. The Reporting Person, as a managing member of Worldview Equity I, L.L.C., may be deemed to share voting and dispositive power over the shares held by the Worldview IV Funds. The Reporting Person disclaims beneficial ownership of the shares held by the Worldview IV Funds, except to the extent of any pecuniary interest therein.
F2The Series Alpha Convertible Preferred Stock converted into the issuer's common stock on a one-for-one basis upon the closing of the issuer's initial public offering. The Series Alpha Convertible Stock had no expiration date.
F3The Series Alpha-1 Convertible Preferred Stock converted into the issuer's common stock on a one-for-one basis upon the closing of the issuer's initial public offering. The Series Alpha-1 Convertible Preferred Stock had no expiration date.
F4Each share of Series Beta convertible preferred stock converted into that number of the issuer's common stock equal to the ratio of $21.2028 divided by $9.75 upon the closing of the issuer's initial public offering. The Series Beta Convertible Stock had no expiration date.