SEC Form 4 · accession 0001104659-18-032295

Carbon Black, Inc. · CBLK

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

Reporting owner

Jeff Fagnan

Director

Period of report

May 8, 2018

Accepted (ET)

May 10, 2018 · 9:09 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^F7,F1	May 8, 2018	C	8,148,778	—	A	9,365,231	I	By Atlas Venture Fund VI, L.P.
Common Stock^F7,F2	May 8, 2018	C	249,193	—	A	286,392	I	By Atlas Venture Entrepreneurs' Fund VI, L.P.
Common Stock^F7,F3	May 8, 2018	C	149,207	—	A	171,480	I	By Atlas Venture Fund VI GmbH & Co. KG
Common Stock^F7,F4	May 8, 2018	C	181,273	—	A	181,273	I	By Atlas Venture Fund IX, L.P.
Common Stock^F7,F5	May 8, 2018	C	21,079	—	A	21,079	I	By Accom B9F Investors, LLC
Common Stock^F6	holding	—	—		—	174,500	I	By Accomplice CB Investors, 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^F7,F1	—	May 8, 2018	C	7,398,761	D	—	—	Common Stock	3,699,380	I
Series B Convertible Preferred Stock^F7,F2	—	May 8, 2018	C	226,258	D	—	—	Common Stock	113,129	I
Series B Convertible Preferred Stock^F7,F3	—	May 8, 2018	C	135,475	D	—	—	Common Stock	67,737	I
Series C Convertible Preferred Stock^F7,F1	—	May 8, 2018	C	4,544,751	D	—	—	Common Stock	2,272,375	I
Series C Convertible Preferred Stock^F7,F2	—	May 8, 2018	C	138,981	D	—	—	Common Stock	69,490	I
Series C Convertible Preferred Stock^F7,F3	—	May 8, 2018	C	83,217	D	—	—	Common Stock	41,608	I
Series D Convertible Preferred Stock^F7,F1	—	May 8, 2018	C	1,263,264	D	—	—	Common Stock	631,632	I
Series D Convertible Preferred Stock^F7,F2	—	May 8, 2018	C	38,631	D	—	—	Common Stock	19,315	I
Series D Convertible Preferred Stock^F7,F3	—	May 8, 2018	C	23,131	D	—	—	Common Stock	11,565	I
Series E Convertible Preferred Stock^F7,F1	—	May 8, 2018	C	3,090,783	D	—	—	Common Stock	1,545,391	I
Series E Convertible Preferred Stock^F7,F2	—	May 8, 2018	C	94,518	D	—	—	Common Stock	47,259	I
Series E Convertible Preferred Stock^F7,F3	—	May 8, 2018	C	56,594	D	—	—	Common Stock	28,297	I
Series E Convertible Preferred Stock^F7,F4	—	May 8, 2018	C	362,548	D	—	—	Common Stock	181,273	I
Series F Convertible Preferred Stock^F7,F5	—	May 8, 2018	C	42,158	D	—	—	Common Stock	21,079	I

Explanation of responses

F1The shares are held directly by Atlas Venture Fund VI, L.P. ("AVF VI"). Atlas Venture Associates VI, L.P. ("AVA VI LP") is the sole general partner of AVF VI. Atlas Venture Associates VI, Inc. ("AVA VI Inc.") is the sole general partner of AVA VI LP. Mr. Fagnan is a director of AVA VI Inc. and is an investor in a limited partner of AVF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F2The shares are held directly by Atlas Venture Entrepreneurs' Fund VI, L.P. ("AVEF VI"). AVA VI LP is the sole general partner of AVEF VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3The shares are held directly by Atlas Venture Fund VI GmbH & Co. KG ("AVFG VI"). AVA VI LP is the managing partner of AVFG VI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F4The shares are held directly by Atlas Venture Fund IX, L.P. ("AVF IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of AVF IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Mr. Fagnan is a member of AVA IX LP. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F5The shares are held directly by Accom B9F Investors, LLC ("AB9F"). Mr. Fagnan is a member of AB9F. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F6The shares are held directly by Accomplice CB Investors LLC ("ACBI"). Mr. Fagnan is a member of ACBI. Mr. Fagnan disclaims Section 16 beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein. This report shall not be deemed to be an admission that Mr. Fagnan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F7Each 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.