SEC Form 4 · accession 0001209191-15-007460

BOX INC · BOX

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

Reporting owner

HERCULES TECHNOLOGY GROWTH CAPITAL INC

10% Owner

Period of report

Jan 28, 2015

Accepted (ET)

Jan 29, 2015 · 4:14 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 Stock^{F1,F2,F3,F4,F5,F6}	Jan 28, 2015	C	803,052	—	A	803,052	D
Existing Class A Common Stock^F7	Jan 28, 2015	J	803,052	—	D	0	D
Existing Class A Common Stock^F1,F8,F9	Jan 28, 2015	C	661,695	—	A	661,695	I	See footnote
Existing Class A Common Stock^F7,F9	Jan 28, 2015	J	661,695	—	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 B Preferred Stock^F9,F8	—	Jan 28, 2015	C	271,070	D	—	—	Existing Class A Common Stock	271,070	0	I
Series C Preferred Stock^F1	—	Jan 28, 2015	C	199,219	D	—	—	Existing Class A Common Stock	199,219	0	D
Series D-1 Preferred Stock^F2	—	Jan 28, 2015	C	62,255	D	—	—	Existing Class A Common Stock	62,255	0	D
Series C Preferred Stock^F9,F1	—	Jan 28, 2015	C	390,625	D	—	—	Existing Class A Common Stock	390,625	0	I
Series D Preferred Stock^F4	—	Jan 28, 2015	C	158,133	D	—	—	Existing Class A Common Stock	158,133	0	D
Series D-1 Preferred Stock^F2	—	Jan 28, 2015	C	124,511	D	—	—	Existing Class A Common Stock	124,511	0	D
Series D-2 Preferred Stock^F5	—	Jan 28, 2015	C	220,751	D	—	—	Existing Class A Common Stock	220,751	0	D
Series E Preferred Stock^F6	—	Jan 28, 2015	C	38,183	D	—	—	Existing Class A Common Stock	38,183	0	D
Class B Common Stock^F10	—	Jan 22, 2015	J	803,052	A	—	—	Class A Common Stock	803,052	803,052	D
Class B Common Stock^F9,F10	—	Jan 28, 2015	J	661,695	A	—	—	Class A Common Stock	661,695	661,695	I

Explanation of responses

F1The Series C Preferred Stock automatically converted into 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.
F10Each 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.
F2The Series D-1 Preferred Stock automatically converted into 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.
F3The Series C Preferred Stock automatically converted into 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.
F4The Series D Preferred Stock automatically converted into 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.
F5The Series D-2 Preferred Stock automatically converted into 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.
F6The Series E Preferred Stock automatically converted into 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.
F7Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series 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.
F8The Series B Preferred Stock automatically converted into 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.
F9Hercules Technology Growth Capital, Inc., the manager of Hercules Technology SBIC Management, LLC, the General Partner of Hercules Technology II, L.P., has sole voting and dispositive power with respect to the shares held by Hercules Technology II, L.P. and share voting and dispositive power with respect to the shares held by Hercules Technology II, L.P.