SEC Form 4 · accession 0001209191-15-062092
OOMA INC · OOMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
WORLDVIEW TECHNOLOGY PARTNERS IV LP
10% Owner
WORLDVIEW STRATEGIC PARTNERS IV LP
10% Owner
James Wei
Director · 10% Owner
Michael Orsak
10% Owner
Susumu Tanaka
10% Owner
Worldview Equity I, L.L.C.
10% Owner
Worldview Capital IV, L.P.
10% Owner
Period of report
Jul 22, 2015
Accepted (ET)
Jul 22, 2015 · 7:54 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 StockF1 | Jul 22, 2015 | C | 37,574 | $0.00 | A | 38,480 | I | By Worldview Strategic Partners IV, L.P. |
| Common StockF1 | Jul 22, 2015 | C | 2,523 | $0.00 | A | 41,003 | I | By Worldview Strategic Partners IV, L.P. |
| Common StockF1 | Jul 22, 2015 | C | 1,313 | $0.00 | A | 42,316 | I | By Worldview Strategic Partners IV, L.P. |
| Common StockF2 | Jul 22, 2015 | C | 827,294 | $0.00 | A | 847,294 | I | By Worldview Technology International IV, L.P. |
| Common StockF2 | Jul 22, 2015 | C | 55,550 | $0.00 | A | 902,844 | I | By Worldview Technology International IV, L.P. |
| Common StockF2 | Jul 22, 2015 | C | 28,935 | $0.00 | A | 931,779 | I | By Worldview Technology International IV, L.P. |
| Common StockF3 | Jul 22, 2015 | C | 5,092,260 | $0.00 | A | 5,215,376 | I | By Worldview Technology Partners IV, L.P. |
| Common StockF3 | Jul 22, 2015 | C | 341,927 | $0.00 | A | 5,557,303 | I | By Worldview Technology Partners IV, L.P. |
| Common StockF3 | Jul 22, 2015 | C | 178,112 | $0.00 | A | 5,735,415 | I | By Worldview Technology Partners IV, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series Alpha Convertible Preferred StockF1,F4 | — | Jul 22, 2015 | C | 37,574 | D | — | — | Common Stock | 37,574 | 0 | I |
| Series Alpha-1 Convertible Preferred StockF1,F5 | — | Jul 22, 2015 | C | 2,523 | D | — | — | Common Stock | 2,523 | 0 | I |
| Series Beta Convertible Preferred StockF1,F6 | — | Jul 22, 2015 | C | 604 | D | — | — | Common Stock | 1,313 | 0 | I |
| Series Alpha Convertible Preferred StockF2,F4 | — | Jul 22, 2015 | C | 827,294 | D | — | — | Common Stock | 827,294 | 0 | I |
| Series Alpha-1 Convertible Preferred StockF2,F5 | — | Jul 22, 2015 | C | 55,550 | D | — | — | Common Stock | 55,550 | 0 | I |
| Series Beta Convertible Preferred StockF2,F6 | — | Jul 22, 2015 | C | 13,306 | D | — | — | Common Stock | 28,935 | 0 | I |
| Series Alpha Convertible Preferred StockF3,F4 | — | Jul 22, 2015 | C | 5,092,260 | D | — | — | Common Stock | 5,092,260 | 0 | I |
| Series Alpha-1 Convertible Preferred StockF3,F5 | — | Jul 22, 2015 | C | 341,927 | D | — | — | Common Stock | 341,927 | 0 | I |
| Series Beta Convertible Preferred StockF3,F6 | — | Jul 22, 2015 | C | 81,904 | D | — | — | Common Stock | 178,112 | 0 | I |
Explanation of responses
- F1Shares held directly by Worldview Strategic Partners IV, L.P. ("Strategic IV"). Worldview Capital IV, L.P., the general partner of Strategic IV, 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 Strategic IV. James Wei, Michael Orsak and Susumu Tanaka are the managing members of Worldview Equity I, L.L.C. and may be deemed to share voting and dispositive power over the shares held by Strategic IV. Such persons and entities disclaim beneficial ownership of shares held by Strategic IV, except to the extent of any pecuniary interest therein.
- F2Shares held directly by Worldview Technology International IV, L.P. ("International IV"). Worldview Capital IV, L.P., the general partner of International IV, 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 International IV. James Wei, Michael Orsak and Susumu Tanaka are the managing members of Worldview Equity I, L.L.C. and may be deemed to share voting and dispositive power over the shares held by International IV. Such persons and entities disclaim beneficial ownership of shares held by International IV, except to the extent of any pecuniary interest therein.
- F3Shares held directly by Worldview Technology Partners IV, L.P. ("Technology IV"). Worldview Capital IV, L.P., the general partner of Technology IV, 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 Technology IV. James Wei, Michael Orsak and Susumu Tanaka are the managing members of Worldview Equity I, L.L.C. and may be deemed to share voting and dispositive power over the shares held by Technology IV. Such persons and entities disclaim beneficial ownership of shares held by Technology IV, except to the extent of any pecuniary interest therein.
- F4The 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.
- F5The 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.
- F6Each 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.