SEC Form 4 · accession 0001209191-16-113806
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Period of report
Apr 6, 2016
Accepted (ET)
Apr 8, 2016 · 8:17 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2,F3,F4 | Apr 6, 2016 | C | 1,490,428 | — | A | 1,490,428 | I | By Fund VIII |
| Class A Common StockF5,F2,F3,F4 | Apr 6, 2016 | J | 1,490,428 | — | D | 0 | I | By Fund VIII |
| Class A Common StockF6,F2,F3,F4 | Apr 6, 2016 | C | 33,121 | — | A | 33,121 | I | By Partners VIII |
| Class A Common StockF7,F2,F3,F4 | Apr 6, 2016 | J | 33,121 | — | D | 0 | I | By Partners VIII |
| Class A Common StockF8,F9 | Apr 6, 2016 | J | 14,904 | — | A | 14,904 | I | See footnote |
| Class A Common StockF10,F9 | Apr 7, 2016 | J | 14,704 | — | D | 200 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF11,F2,F3,F4,F12 | — | Apr 6, 2016 | C | 1,490,428 | D | — | — | Class A Common Stock | 1,490,428 | 21,525,619 | I |
| Class B Common StockF11,F2,F3,F4,F12 | — | Apr 6, 2016 | C | 33,121 | D | — | — | Class A Common Stock | 33,121 | 21,492,498 | I |
Explanation of responses
- F1Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII).
- F10Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII Partners to its partners or members.
- F11Each 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.
- F121,490,740 of these shares are owned directly by DALP, 4,660,560 of these shares are owned directly by Fund IX, 13,413,853 of these shares are owned directly by Fund VIII, 126,295 of these shares are owned directly by Partners IX, 298,085 of these shares are owned directly by Partners VIII, 1,390,544 of these shares are owned directly by Growth Fund, and 112,421 of these shares are owned directly by Growth Partners.
- F2The General Partner of Draper Associates, L.P. (DALP) is Draper Associates, Inc. which is controlled by its President and majority shareholder, Timothy C. Draper. DALP invests lockstep alongside Fund VIII and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).
- F3Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson are managing directors of the general partner entities of Fund VIII and Fund IX that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners VIII, LLC (Partners VIII) invests lockstep alongside Fund VIII. Draper Fisher Jurvetson Partners IX, LLC (Partners IX) invests lockstep alongside Fund IX. The managing members of Partners VIII and Partners IX are Timothy C. Draper, John H.N. Fisher and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.
- F4John H.N. Fisher, Barry M. Schuler and Mark W. Bailey are managing directors of the general partner entities of Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund) that directly hold shares and as such they may be deemed to have voting and investment power with respect to such shares. Draper Fisher Jurvetson Partners Growth Fund 2006, LLC (Growth Partners) invests lockstep alongside Growth Fund. The managing members of Growth Partners are John H.N. Fisher, Barry M. Schuler, Mark W. Bailey, Timothy C. Draper and Stephen T. Jurvetson. These individuals disclaim beneficial ownership of these shares except to the extent of their pecuniary interest therein.
- F5Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Fund VIII to its partners or members and includes the subsequent distribution by Draper Fisher Jurvetson Fund VIII Partners, L.P. to its respective partners or members.
- F6Represents the conversion of Class B Common Stock into Class A Common Stock held by Partners VIII.
- F7Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Partners VIII to its partners or members.
- F8Represents the receipt of shares of Class A Common Stock of the Issuer by virtue of the pro rata in-kind distribution by Fund VIII.
- F9Shares held by Draper Fisher Jurvetson Fund VIII Partners, L.P. (Fund VIII Partners).
Remarks
This report is filed as form 2 of 2 to report related transactions for the following filers: Draper Fisher Jurvetson Fund VIII, L.P.; Draper Fisher Jurvetson Partners VIII, LLC; Draper Fisher Jurvetson Fund IX, L.P.; Draper Fisher Jurvetson Partners IX, LLC; Draper Associates, L.P.; Timothy Draper; John Fisher; Stephen Jurvetson; Mark Bailey; Barry Schuler; Draper Fisher Jurvetson Growth Fund 2006, L.P.; and Draper Fisher Jurvetson Partners Growth Fund 2006, LLC.