SEC Form 4 · accession 0001104659-18-032291

Carbon Black, Inc. · CBLK

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

Reporting owner

Maria Cirino

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^F5,F1	May 8, 2018	C	2,585,705	—	A	3,000,833	I	By Point 406 Ventures I, L.P.
Common Stock^F5,F2	May 8, 2018	C	12,587	—	A	14,426	I	By Point 406 Ventures I-A, L.P.
Common Stock^F5,F3	May 8, 2018	C	939,526	—	A	939,526	I	By 1941 Co-Invest, LLC
Common Stock^F5,F4	May 8, 2018	C	480,750	—	A	480,750	I	By B941, LLC

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,F5	—	May 8, 2018	C	2,994,508	D	—	—	Common Stock	1,497,254	I
Series B Convertible Preferred Stock^F2,F5	—	May 8, 2018	C	14,581	D	—	—	Common Stock	7,290	I
Series C Convertible Preferred Stock^F1,F5	—	May 8, 2018	C	964,406	D	—	—	Common Stock	482,203	I
Series C Convertible Preferred Stock^F2,F5	—	May 8, 2018	C	4,695	D	—	—	Common Stock	2,347	I
Series D Convertible Preferred Stock^F1,F5	—	May 8, 2018	C	414,237	D	—	—	Common Stock	207,118	I
Series D Convertible Preferred Stock^F2,F5	—	May 8, 2018	C	2,017	D	—	—	Common Stock	1,008	I
Series E Convertible Preferred Stock^F1,F5	—	May 8, 2018	C	496,476	D	—	—	Common Stock	248,238	I
Series E Convertible Preferred Stock^F2,F5	—	May 8, 2018	C	2,417	D	—	—	Common Stock	1,208	I
Series E Convertible Preferred Stock^F3,F5	—	May 8, 2018	C	1,879,052	D	—	—	Common Stock	939,526	I
Series F Convertible Preferred Stock^F1,F5	—	May 8, 2018	C	301,785	D	—	—	Common Stock	150,892	I
Series F Convertible Preferred Stock^F2,F5	—	May 8, 2018	C	1,469	D	—	—	Common Stock	734	I
Series F Convertible Preferred Stock^F4,F5	—	May 8, 2018	C	961,501	D	—	—	Common Stock	480,750	I

Explanation of responses

F1The shares are held directly by Point 406 Ventures I, L.P. ("Point 406 Ventures I"). The general partner of Point 406 Ventures I is .406 Ventures I GP, L.P. (".406 Ventures I GP"). The general partner of .406 Ventures I GP is .406 Ventures I GP, LLC. Ms. Cirino is a Managing Partner of .406 Ventures I GP, LLC and disclaims Section 16 beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F2The shares are held directly by Point 406 Ventures I-A, L.P. ("Point 406 Ventures I-A"). The general partner of Point 406 Ventures I-A is .406 Ventures I GP. Ms. Cirino disclaims beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3The shares are held directly by 1941 Co-Invest, LLC. ("1941 Co-Invest"). The general partner of 1941 Co-Invest is .406 Ventures I GP. Ms. Cirino disclaims beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F4The shares are held directly by B941, LLC ("B941"). The general partner of B941 is 406 Ventures I GP. Ms. Cirino disclaims beneficial ownership of all shares except to the extent of her pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Ms. Cirino is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F5Each share of preferred stock automatically converted into shares of Common Stock on a 1-for-2 basis upon the closing of the Issuer's initial public offering. The shares have no expiration date.