SEC Form 4 · accession 0000950142-15-000198
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
GENERAL ATLANTIC LLC
10% Owner
GAPCO GMBH & CO KG
10% Owner
GAPCO MANAGEMENT GMBH
10% Owner
GAP COINVESTMENTS III LLC
10% Owner
GAP COINVESTMENTS IV LLC
10% Owner
GAP Coinvestments CDA, L.P.
10% Owner
GENERAL ATLANTIC GENPAR, L.P.
10% Owner
General Atlantic Partners 90, L.P.
10% Owner
Period of report
Jan 28, 2015
Accepted (ET)
Jan 30, 2015 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001372612
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Existing Class A Common StockF1,F4,F9 | Jan 28, 2015 | C | 7,076,139 | — | A | 7,076,139 | I | See Footnote |
| Existing Class A Common StockF2,F4,F9 | Jan 28, 2015 | J | 7,076,139 | — | D | 0 | I | See Footnote |
| Existing Class A Common StockF1,F5,F9 | Jan 28, 2015 | C | 18,627 | — | A | 18,627 | I | See Footnote |
| Existing Class A Common StockF2,F5,F9 | Jan 28, 2015 | J | 18,627 | — | D | 0 | I | See Footnote |
| Existing Class A Common StockF1,F6,F9 | Jan 28, 2015 | C | 441,949 | — | A | 441,949 | I | See Footnote |
| Existing Class A Common StockF2,F6,F9 | Jan 28, 2015 | J | 441,949 | — | D | 0 | I | See Footnote |
| Existing Class A Common StockF1,F7,F9 | Jan 28, 2015 | C | 82,194 | — | A | 82,194 | I | See Footnote |
| Existing Class A Common StockF2,F7,F9 | Jan 28, 2015 | J | 82,194 | — | D | 0 | I | See Footnote |
| Existing Class A Common StockF1,F8,F9 | Jan 28, 2015 | C | 17,651 | — | A | 17,651 | I | See Footnote |
| Existing Class A Common StockF2,F8,F9 | Jan 28, 2015 | J | 17,651 | — | D | 0 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E Preferred StockF1,F4,F9 | — | Jan 28, 2015 | C | 7,076,139 | D | — | — | Existing Class A Common Stock | 7,076,139 | 0 | I |
| Class B Common StockF3,F4,F9 | — | Jan 28, 2015 | J | 7,076,139 | A | — | — | Class A Common Stock | 7,076,139 | 7,076,139 | I |
| Series E Preferred StockF1,F5,F9 | — | Jan 28, 2015 | C | 18,627 | D | — | — | Existing Class A Common Stock | 18,627 | 0 | I |
| Class B Common StockF3,F5,F9 | — | Jan 28, 2015 | J | 18,627 | A | — | — | Class A Common Stock | 18,627 | 18,627 | I |
| Series E Preferred StockF1,F6,F9 | — | Jan 28, 2015 | C | 441,949 | D | — | — | Existing Class A Common Stock | 441,949 | 0 | I |
| Class B Common StockF3,F6,F9 | — | Jan 28, 2015 | J | 441,949 | A | — | — | Class A Common Stock | 441,949 | 441,949 | I |
| Series E Preferred StockF1,F7,F9 | — | Jan 28, 2015 | C | 82,194 | D | — | — | Existing Class A Common Stock | 82,194 | 0 | I |
| Class B Common StockF3,F7,F9 | — | Jan 28, 2015 | J | 82,194 | A | — | — | Class A Common Stock | 82,194 | 82,194 | I |
| Series E Preferred StockF1,F8,F9 | — | Jan 28, 2015 | C | 17,651 | D | — | — | Existing Class A Common Stock | 17,651 | 0 | I |
| Class B Common StockF3,F8,F9 | — | Jan 28, 2015 | J | 17,651 | A | — | — | Class A Common Stock | 17,651 | 17,651 | I |
Explanation of responses
- F1The Series E Preferred Stock automatically converted into the Issuer's existing Class A Common Stock ("Existing Class A Common Stock") on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
- F2Immediately prior to the closing of the Issuer's initial public offering and following the conversion of the Issuer's convertible preferred stock into Existing Class A Common Stock, each share of Existing Class A Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
- F3Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
- F4By General Atlantic Partners 90, L.P. ("GAP 90")
- F5By GAP Coinvestments CDA, L.P. ("CDA")
- F6By GAP Coinvestments III LLC ("GAPCO III")
- F7By GAP Coinvestments IV LLC ("GAPCO IV")
- F8By GAPCO GmbH & Co, KG ("GAPCO KG")
- F9The general partner of GAP 90 is General Atlantic GenPar, L.P. ("GA GenPar") and the general partner of GA GenPar is General Atlantic LLC ("GA LLC"). GA LLC is the managing member of GAPCO III and GAPCO IV and the general partner of CDA. The general partner of GAPCO KG is GAPCO Management GmbH ("Management"). The Managing Directors of GA LLC control the voting and dispositive decisions made by GAPCO KG and Management.
Remarks
Each of the reporting persons described in the notes above may be deemed to be a member of a "group" for purposes of the Securities Exchange Act of 1934. Each reporting person disclaims beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the reporting person. This report shall not be deemed an admission that the reporting persons are a member of a group or the beneficial owner of any securities not directly owned by the reporting person.