SEC Form 4/A · accession 0001548538-17-000015
BOX INC · BOX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owners
Philip M Young
10% Owner
Irwin Federman
10% Owner
David E Liddle
10% Owner
Jonathan D Root
10% Owner
U S Venture Partners IX L P
10% Owner
Paul A Matteucci
10% Owner
Casey M Tansey
10% Owner
Presidio Management Group IX, L.L.C.
10% Owner
Period of report
Jun 2, 2017
Accepted (ET)
Jun 8, 2017 · 7:42 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,F3 | Jun 2, 2017 | C | 8,000,000 | — | A | 8,000,000 | I | Directly owned by USVP IX |
| Class A Common StockF1,F2,F3 | Jun 2, 2017 | J | 8,000,000 | — | D | 0 | I | Directly owned by USVP IX |
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 StockF1,F3 | — | Jun 2, 2017 | C | 8,000,000 | D | — | — | Class A Common Stock | 8,000,000 | 3,713,775 | I |
Explanation of responses
- F1Each 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.
- F2Prorata distribution in kind from the partnership without consideration to its limited partners.
- F3The shares are held of record by U.S. Venture Partners IX, L.P. ("USVP IX"). Presidio Management Group IX, LLC ("PMG IX") is the general partner of USVP IX and may be deemed to have sole voting and dispositive power over the shares held by USVP IX. Steven M. Krausz, a director of the Issuer, and each of Irwin Federman, David E. Liddle, Paul A Matteucci, Jonathan D. Root, Casey M. Tansey, and Philip M. Young, are managing members of PMG IX, and may be deemed to share voting and dispositive power over the shares held by USVP IX. Such persons and entities disclaim beneficial ownership of shares held by USVP IX, except to the extent of any proportionate pecuniary interest therein.
Remarks
Remarks: USVP IX initially purchased shares of Box, Inc. in January 2008 and, prior to the distributions reported on this Form 4, had not sold or distributed any shares. This is an amendment to the original Form 4 filed on June 5, 2017, which due to a clerical error did not list U.S. Venture Partners IX, L.P. as a reporting person in the group. This amendment corrects and restates the information included in the previously filed Form 4 in order to gain access to the filing system.