SEC Form 4 · accession 0001104659-18-032296
Carbon Black, Inc. · CBLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
ATLAS VENTURE FUND VI LP
10% Owner
Atlas Venture Fund VI GmbH & Co KG
10% Owner
Atlas Venture Associates VI, L.P.
10% Owner
Atlas Venture Associates VI, Inc.
10% Owner
Period of report
May 8, 2018
Accepted (ET)
May 10, 2018 · 9:10 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 StockF4,F1 | May 8, 2018 | C | 8,148,778 | — | A | 9,365,231 | I | By Atlas Venture Fund VI, L.P. |
| Common StockF4,F2 | May 8, 2018 | C | 249,193 | — | A | 286,392 | I | By Atlas Venture Entrepreneurs' Fund VI, L.P. |
| Common StockF4,F3 | May 8, 2018 | C | 149,207 | — | A | 171,480 | I | By Atlas Venture Fund VI GmbH & Co. KG |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF4,F1 | — | May 8, 2018 | C | 7,398,761 | D | — | — | Common Stock | 3,699,380 | 0 | I |
| Series B Convertible Preferred StockF4,F2 | — | May 8, 2018 | C | 226,258 | D | — | — | Common Stock | 113,129 | 0 | I |
| Series B Convertible Preferred StockF4,F3 | — | May 8, 2018 | C | 135,475 | D | — | — | Common Stock | 67,737 | 0 | I |
| Series C Convertible Preferred StockF4,F1 | — | May 8, 2018 | C | 4,544,751 | D | — | — | Common Stock | 2,272,375 | 0 | I |
| Series C Convertible Preferred StockF4,F2 | — | May 8, 2018 | C | 138,981 | D | — | — | Common Stock | 69,490 | 0 | I |
| Series C Convertible Preferred StockF4,F3 | — | May 8, 2018 | C | 83,217 | D | — | — | Common Stock | 41,608 | 0 | I |
| Series D Convertible Preferred StockF4,F1 | — | May 8, 2018 | C | 1,263,264 | D | — | — | Common Stock | 631,632 | 0 | I |
| Series D Convertible Preferred StockF4,F2 | — | May 8, 2018 | C | 38,631 | D | — | — | Common Stock | 19,315 | 0 | I |
| Series D Convertible Preferred StockF4,F3 | — | May 8, 2018 | C | 23,131 | D | — | — | Common Stock | 11,565 | 0 | I |
| Series E Convertible Preferred StockF4,F1 | — | May 8, 2018 | C | 3,090,783 | D | — | — | Common Stock | 1,545,391 | 0 | I |
| Series E Convertible Preferred StockF4,F2 | — | May 8, 2018 | C | 94,518 | D | — | — | Common Stock | 47,259 | 0 | I |
| Series E Convertible Preferred StockF4,F3 | — | May 8, 2018 | C | 56,594 | D | — | — | Common Stock | 28,297 | 0 | 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. Each of AVA VI LP and AVA VI Inc. disclaims Section 16 beneficial ownership of all shares except to the extent of its pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. AVA VI Inc. is the sole general partner of AVA VI LP. Each of AVA VI LP and AVA VI Inc. disclaims Section 16 beneficial ownership of all shares except to the extent of its pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners 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. AVA VI Inc. is the sole general partner of AVA VI LP. Each of AVA VI LP and AVA VI Inc. disclaims Section 16 beneficial ownership of all shares except to the extent of its pecuniary interest, if any, therein. This report shall not be deemed to be an admission that the reporting persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.
- F4Each 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.