SEC Form 4 · accession 0001140361-15-016256
ETSY INC · ETSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
(Jersey) SLP Yucca
10% Owner
Period of report
Apr 21, 2015
Accepted (ET)
Apr 23, 2015 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001370637
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 21, 2015 | S | 1,218,667 | $14.96 | D | 2,795,583 | D | |
| Common StockF2 | Apr 21, 2015 | S | 42,520 | $14.96 | D | 97,559 | D | |
| Common StockF3 | Apr 21, 2015 | S | 6,340 | $14.96 | D | 14,556 | D | |
| Common StockF4,F5,F1 | Apr 21, 2015 | C | 8,081,114 | — | A | 10,876,697 | D | |
| Common StockF4,F5,F3 | Apr 21, 2015 | C | 281,937 | — | A | 379,496 | D | |
| Common StockF4,F5,F3 | Apr 21, 2015 | C | 42,036 | — | A | 56,592 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1,F4 | — | Apr 21, 2015 | C | 280,894 | D | — | — | Common Stock | 1,404,470 | 0 | D |
| Series A Preferred StockF2,F4 | — | Apr 21, 2015 | C | 9,800 | D | — | — | Common Stock | 49,000 | 0 | D |
| Series A Preferred StockF3,F4 | — | Apr 21, 2015 | C | 1,461 | D | — | — | Common Stock | 7,305 | 0 | D |
| Series A-1 Preferred StockF1,F4 | — | Apr 21, 2015 | C | 447,065 | D | — | — | Common Stock | 2,235,325 | 0 | D |
| Series A-1 Preferred StockF2,F4 | — | Apr 21, 2015 | C | 15,597 | D | — | — | Common Stock | 77,985 | 0 | D |
| Series A-1 Preferred StockF3,F4 | — | Apr 21, 2015 | C | 2,327 | D | — | — | Common Stock | 11,635 | 0 | D |
| Series B Preferred StockF1,F4 | — | Apr 21, 2015 | C | 279,553 | D | — | — | Common Stock | 1,397,765 | 0 | D |
| Series B Preferred StockF2,F4 | — | Apr 21, 2015 | C | 9,754 | D | — | — | Common Stock | 48,770 | 0 | D |
| Series B Preferred StockF3,F4 | — | Apr 21, 2015 | C | 1,454 | D | — | — | Common Stock | 7,270 | 0 | D |
| Series C Preferred StockF1,F4 | — | Apr 21, 2015 | C | 34,763 | D | — | — | Common Stock | 173,815 | 0 | D |
| Series C Preferred StockF2,F4 | — | Apr 21, 2015 | C | 1,213 | D | — | — | Common Stock | 6,065 | 0 | D |
| Series C Preferred StockF3,F4 | — | Apr 21, 2015 | C | 181 | D | — | — | Common Stock | 905 | 0 | D |
| Series E Preferred StockF1,F4 | — | Apr 21, 2015 | C | 242,182 | D | — | — | Common Stock | 1,210,910 | 0 | D |
| Series E Preferred StockF2,F4 | — | Apr 21, 2015 | C | 8,449 | D | — | — | Common Stock | 42,245 | 0 | D |
| Series E Preferred StockF3,F4 | — | Apr 21, 2015 | C | 1,259 | D | — | — | Common Stock | 6,295 | 0 | D |
| Series F Preferred StockF1,F5 | — | Apr 21, 2015 | C | 3,317,658 | D | — | — | Common Stock | 1,658,829 | 0 | D |
| Series F Preferred StockF2,F5 | — | Apr 21, 2015 | C | 115,744 | D | — | — | Common Stock | 57,872 | 0 | D |
| Series F Preferred StockF3,F5 | — | Apr 21, 2015 | C | 17,252 | D | — | — | Common Stock | 8,626 | 0 | D |
Explanation of responses
- F1The shares are held by Index Ventures Growth I (Jersey). L.P. Index Venture Growth Associates I Limited is the managing general partner of Index Ventures Growth I (Jersey), L.P. Nigel T. Greenwood, David Hall, Ian J. Henderson, Phil Balderson, Bernard Dalle and Sinead Meehan are directors of Index Venture Growth Associates I Limited. Mrs. Meehan and Messrs. Greenwood, Hall, Henderson, Balderson and Dalle share voting and dispositive power with respect to the shares. Each of these persons disclaims beneficial ownership of the shares except to the extent of his or her pecuniary interest therein.
- F2The shares are held by Index Ventures Growth I Parallel Entrepreneur Fund (Jersey). L.P. Index Venture Growth Associates I Limited is the managing general partner of Index Ventures Growth I Parallel Entrepreneur Fund (Jersey), L.P. Nigel T. Greenwood, David Hall, Ian J. Henderson, Phil Balderson, Bernard Dalle and Sinead Meehan are directors of Index Venture Growth Associates I Limited. Mrs. Meehan and Messrs. Greenwood, Hall, Henderson, Balderson and Dalle share voting and dispositive power with respect to the shares. Each of these persons disclaims beneficial ownership of the shares except to the extent of his or her pecuniary interest therein.
- F3The shares are held by Yucca (Jersey), SLP. The above shares represent securities held in a coinvestment fund that is contractually required to mirror Index Venture Growth Associates I Limited's investment. As a result, Mrs. Meehan and Messrs. Greenwood, Hall, Henderson, Balderson and Dalle may be deemed to have voting and dispositive power over Yucca (Jersey), SLP's shares by virtue of its shared dispositive power over and shared voting power over the shares held by Index Venture Growth Associates I Limited. Each of these persons disclaims beneficial ownership of the securities except to the extent of his or her pecuniary interest therein.
- F4In connection with the completion of the Issuer's initial public offering of Common Stock, each share of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, and Series E Preferred Stock automatically converted into five shares of common stock of the Issuer and has no expiration date or conversion price.
- F5In connection with the completion of the Issuer's initial public offering of Common Stock, each share of Series F Preferred Stock automatically converted into 0.5 shares of common stock of the Issuer and has no expiration date or conversion price.