SEC Form 4 · accession 0000899243-18-028293
AEROHIVE NETWORKS, INC · HIVE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Feng Deng
10% Owner
Yan Ke
10% Owner
NORTHERN LIGHT STRATEGIC FUND L P
10% Owner
NORTHERN LIGHT VENTURE FUND L P
10% Owner
Northern Light Venture Capital, Ltd.
10% Owner
Northern Light Partners Fund, L.P.
10% Owner
Northern Light Partners, L.P.
10% Owner
Jeffrey Lee
10% Owner
Period of report
Nov 2, 2018
Accepted (ET)
Nov 6, 2018 · 11:33 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001372414
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 2, 2018 | J | 148,209 | $0.00 | D | 5,780,170 | I | See footnote |
| Common StockF2 | Nov 2, 2018 | J | 32,550 | $0.00 | D | 1,269,453 | I | See footnote |
| Common StockF3 | Nov 2, 2018 | J | 16,276 | $0.00 | D | 634,724 | I | See footnote |
| Common StockF5 | Nov 2, 2018 | J | 1,970 | $0.00 | A | 1,970 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held directly by Northern Light Venture Fund, L.P. ("NLVF"). Northern Light Partners, L.P., the general partner of NLVF, and Northern Light Venture Capital, Ltd., the general partner of Northern Light Partners, L.P., may each be deemed to have sole voting and dispositive power over the shares held by NLVF. Feng Deng, Jeffrey D. Lee and Yan Ke are the directors of Northern Light Venture Capital, Ltd. and may be deemed to share voting and dispositive power over the shares held by NLVF. Such persons and entities disclaim beneficial ownership of shares held by NLVF, except to the extent of any pecuniary interest therein.
- F2Shares held directly by Northern Light Strategic Fund, L.P. ("NLSF"). Northern Light Partners, L.P., the general partner of NLSF, and Northern Light Venture Capital, Ltd., the general partner of Northern Light Partners, L.P., may each be deemed to have sole voting and dispositive power over the shares held by NLSF. Feng Deng, Jeffrey D. Lee and Yan Ke are the directors of Northern Light Venture Capital, Ltd. and may be deemed to share voting and dispositive power over the shares held by NLSF. Such persons and entities disclaim beneficial ownership of shares held by NLSF, except to the extent of any pecuniary interest therein.
- F3Shares held directly by Northern Light Partners Fund, L.P. ("NLPF"). Northern Light Partners, L.P., the general partner of NLPF, and Northern Light Venture Capital, Ltd., the general partner of Northern Light Partners, L.P., may each be deemed to have sole voting and dispositive power over the shares held by NLPF. Feng Deng, Jeffrey D. Lee and Yan Ke are the directors of Northern Light Venture Capital, Ltd. and may be deemed to share voting and dispositive power over the shares held by NLPF. Such persons and entities disclaim beneficial ownership of shares held by NLPF, except to the extent of any pecuniary interest therein.
- F4Represents a pro-rata in-kind distribution, and not a purchase or sale, without additional consideration to its partners.
- F5Shares held directly by Northern Light Partners, L.P., the general partner of each of NLVF, NLSF and NLPF. Northern Light Venture Capital, Ltd., the general partner of Northern Light Partners, L.P., may be deemed to have sole voting and dispositive power over the shares held by Northern Light Partners, L.P. Feng Deng, Jeffrey D. Lee and Yan Ke are the directors of Northern Light Venture Capital, Ltd. and may be deemed to share voting and dispositive power over the shares held by Northern Light Partners, L.P. Such persons and entities disclaim beneficial ownership of shares held by Northern Light Partners, L.P., except to the extent of any pecuniary interest therein.
- F6Represents a pro-rata in-kind distribution, and not a purchase or sale, without additional consideration, from NLVF, NLSF and NLPF.