SEC Form 4 · accession 0001209191-18-029840
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Timothy C Draper
10% Owner
DRAPER ASSOCIATES L P
10% Owner
Mark W Bailey
10% Owner
John H N Fisher
10% Owner
Draper Fisher Jurvetson Fund IX LP
10% Owner
Barry Schuler
10% Owner
Period of report
May 10, 2018
Accepted (ET)
May 14, 2018 · 4:25 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 | May 10, 2018 | C | 556,218 | — | A | 556,218 | I | By Growth Fund |
| Class A Common StockF5,F2,F3,F4 | May 10, 2018 | J | 556,218 | — | D | 0 | I | By Growth Fund |
| Class A Common StockF6,F2,F3,F4 | May 10, 2018 | C | 44,968 | — | A | 44,968 | I | By Growth Partners |
| Class A Common StockF7,F2,F3,F4 | May 10, 2018 | J | 44,968 | — | D | 0 | I | By Growth Partners |
| Class A Common StockF8,F9 | May 10, 2018 | J | 83,637 | — | A | 83,637 | I | See footnote |
| Class A Common StockF10,F9 | May 10, 2018 | J | 83,637 | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF11,F2,F3,F4 | — | May 10, 2018 | C | 556,218 | D | — | — | Class A Common Stock | 556,218 | 1,215,708 | I |
| Class B Common StockF11,F2,F3,F4,F12 | — | May 10, 2018 | C | 44,968 | D | — | — | Class A Common Stock | 44,968 | 1,170,740 | I |
Explanation of responses
- F1Represents the conversion of Class B Common Stock into Class A Common Stock held by Draper Fisher Jurvetson Growth Fund 2006, L.P. (Growth Fund).
- F10Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Fund 2006 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.
- F12Shares held by DALP.
- 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 Draper Fisher Jurvetson Fund VIII, L.P. (Fund VIII) and Draper Fisher Jurvetson Fund IX, L.P. (Fund IX).
- F3Timothy C. Draper and John H.N. Fisher 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 and John H.N. Fisher. 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 and Timothy C. Draper. 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 Growth Fund to its partners or members and includes the subsequent distribution by Draper Fisher Jurvetson Growth Fund 2006 Partners, L.P. (Growth Fund 2006 Partners) to its respective partners or members.
- F6Represents the conversion of Class B Common Stock into Class A Common Stock held by Growth Partners.
- F7Represents a pro rata in-kind distribution of Class A Common Stock of the Issuer by Growth Partners 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 Growth Fund.
- F9Shares held by Growth Fund 2006 Partners.
Remarks
This report is filed as form 1 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; Mark Bailey; Barry Schuler; Draper Fisher Jurvetson Growth Fund 2006, L.P.; and Draper Fisher Jurvetson Partners Growth Fund 2006, LLC.