SEC Form 4 · accession 0001104659-18-032290

Carbon Black, Inc. · CBLK

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

Reporting owner

Paul A Maeder

Director

Period of report

May 8, 2018

Accepted (ET)

May 10, 2018 · 9:07 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001366527

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	May 8, 2018	C	3,514,161	—	A	4,270,065	I	By Highland Capital Partners VI Limited Partnership
Common Stock^F1,F3	May 8, 2018	C	1,926,577	—	A	2,340,874	I	By Highland Capital Partners VI-B Limited Partnership
Common Stock^F1,F4	May 8, 2018	C	174,059	—	A	211,495	I	By Highland Entrepreneurs' Fund VI Limited Partnership
Common Stock^F1	May 8, 2018	C	1,093,318	—	A	1,093,318	I	By Highland Capital Partners VII Limited Partnership
Common Stock^F1	May 8, 2018	C	264,931	—	A	264,931	I	By Highland Capital Partners VII-B Limited Partnership
Common Stock^F1	May 8, 2018	C	385,824	—	A	385,824	I	By Highland Capital Partners VII-C Limited Partnership
Common Stock^F1	May 8, 2018	C	34,258	—	A	34,258	I	By Highland Entrepreneurs' Fund VII Limited Partnership

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Convertible Preferred Stock^F1,F2	—	May 8, 2018	C	4,794,437	D	—	—	Common Stock	2,397,218	I
Series B Convertible Preferred Stock^F1,F3	—	May 8, 2018	C	2,628,466	D	—	—	Common Stock	1,314,233	I
Series B Convertible Preferred Stock^F1,F4	—	May 8, 2018	C	237,472	D	—	—	Common Stock	118,736	I
Series C Convertible Preferred Stock^F1,F2	—	May 8, 2018	C	1,544,087	D	—	—	Common Stock	772,043	I
Series C Convertible Preferred Stock^F1,F3	—	May 8, 2018	C	846,518	D	—	—	Common Stock	423,259	I
Series C Convertible Preferred Stock^F1,F4	—	May 8, 2018	C	76,480	D	—	—	Common Stock	38,240	I
Series D Convertible Preferred Stock^F1,F2	—	May 8, 2018	C	689,800	D	—	—	Common Stock	344,900	I
Series D Convertible Preferred Stock^F1,F3	—	May 8, 2018	C	378,171	D	—	—	Common Stock	189,085	I
Series D Convertible Preferred Stock^F1,F4	—	May 8, 2018	C	34,166	D	—	—	Common Stock	17,083	I
Series E Convertible Preferred Stock^F1,F5	—	May 8, 2018	C	1,149,874	D	—	—	Common Stock	574,937	I
Series E Convertible Preferred Stock^F1,F6	—	May 8, 2018	C	278,637	D	—	—	Common Stock	139,318	I
Series E Convertible Preferred Stock^F1,F7	—	May 8, 2018	C	405,783	D	—	—	Common Stock	202,891	I
Series E Convertible Preferred Stock^F1,F8	—	May 8, 2018	C	36,031	D	—	—	Common Stock	18,015	I
Series F Convertible Preferred Stock^F1,F5	—	May 8, 2018	C	1,036,762	D	—	—	Common Stock	518,381	I
Series F Convertible Preferred Stock^F1,F6	—	May 8, 2018	C	251,227	D	—	—	Common Stock	125,613	I
Series F Convertible Preferred Stock^F1,F7	—	May 8, 2018	C	365,866	D	—	—	Common Stock	182,933	I
Series F Convertible Preferred Stock^F1	—	May 8, 2018	C	32,486	D	—	—	Common Stock	16,243	I

Explanation of responses

F1Each share of preferred stock automatically converted into Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.
F2The shares are held directly by Highland Capital Partners VI Limited Partnership ("Highland Capital VI"). The general partner of Highland Capital VI is Highland Management Partners VI Limited Partnership ("HMP VI LP"). The general partner of HMP VI LP is Highland Management Partners VI, Inc. ("Highland Management"). Mr. Maeder is a managing director of Highland Management. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3The shares are held directly by Highland Capital Partners VI-B Limited Partnership ("Highland Capital VI-B"). The general partner of Highland Capital VI-B is HMP VI LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F4The shares are held directly by Highland Entrepreneurs' Fund VI Limited Partnership ("Highland VI Entrepreneurs' Fund"). The general partner of Highland VI Entrepreneurs' Fund is HEF VI Limited Partnership ("HEF"). The general partner of HEF is Highland Management. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F5The shares are held directly by Highland Capital Partners VII Limited Partnership ("Highland Capital VII"). The general partner of Highland Capital VII is Highland Management Partners VII Limited Partnership ("HMP VII LP"). The general partner of HMP VII LP is Highland Management Partners VII, LLC ("HMP VII LLC"). Mr. Maeder is a managing director of HMP VII LLC. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F6The shares are held directly by Highland Capital Partners VII-B Limited Partnership ("Highland Capital VII-B"). The general partner of Highland Capital VII-B is HMP VII LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F7The shares are held directly by Highland Capital Partners VII-C Limited Partnership ("Highland Capital VII-C"). The general partner of Highland Capital VII-C is HMP VII LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F8The shares are held directly by Highland Entrepreneurs' Fund VII Limited Partnership ("Highland VII Entrepreneurs' Fund"). The general partner of Highland VII Entrepreneurs' Fund is HMP VII LP. Mr. Maeder disclaims Section 16 beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed to be an admission that Mr. Maeder is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.