SEC Form 4 · accession 0001209191-17-004994
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
Jan 19, 2017
Accepted (ET)
Jan 20, 2017 · 7:29 pm EST
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 StockF2 | Jan 19, 2017 | S | 20,655 | $8.30 | D | 21,661 | I | By Worldview Strategic Partners IV, L.P. |
| Common StockF3 | Jan 19, 2017 | S | 454,814 | $8.30 | D | 476,965 | I | By Worldview Technology International IV, L.P. |
| Common StockF4 | Jan 19, 2017 | S | 2,799,531 | $8.30 | D | 2,935,884 | I | By Worldview Technology Partners IV, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares sold pursuant to that certain Purchase Agreement, dated as of January 12, 2017 by and among the Issuer, B. Riley & Co., LLC, Worldview Technology Partners IV, L.P., Worldview Technology International IV, L.P. and Worldview Strategic Partners IV, L.P. (the "Transaction"). The Transaction closed on January 19, 2017.
- F2Shares 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.
- F3Shares 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.
- F4Shares 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.