SEC Form 4 · accession 0000919574-17-002940

MULESOFT, INC · MULE

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

Reporting owners

Nino Nikola Marakovic

10% Owner

Sapphire Ventures Fund I, L.P.

10% Owner

Sapphire Ventures (GPE) I, L.L.C.

10% Owner

Period of report

Mar 22, 2017

Accepted (ET)

Mar 23, 2017 · 9:52 am EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001374684

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^{F1,F2,F3,F4,F5,F6}	Mar 22, 2017	C	7,430,044	—	A	7,627,018	D
Common Stock^F5,F7,F6	Mar 22, 2017	J	7,627,018	—	D	0	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Preferred Stock^F1,F6	—	Mar 22, 2017	C	5,161,292	D	—	—	Common Stock	5,161,292	0	D
Series D Preferred Stock^F2,F6	—	Mar 22, 2017	C	1,152,004	D	—	—	Common Stock	1,152,004	0	D
Series E Preferred Stock^F3,F6	—	Mar 22, 2017	C	342,614	D	—	—	Common Stock	342,614	0	D
Series F Preferred Stock^F4,F6	—	Mar 22, 2017	C	765,228	D	—	—	Common Stock	765,228	0	D
Series G Preferred Stock^F5,F6	—	Mar 22, 2017	C	8,906	D	—	—	Common Stock	8,906	0	D
Class B Common Stock^F7,F8,F6	—	Mar 22, 2017	J	7,627,018	A	—	—	Class A Common Stock	7,627,018	7,627,018	D

Explanation of responses

F1The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F2The Series D Preferred Stock automatically converted into 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 E Preferred Stock automatically converted into 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 F Preferred Stock automatically converted into 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 G Preferred Stock automatically converted into 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 securities reported herein are held by Sapphire Ventures Fund I, L.P.(the "Fund") and may be deemed to be beneficially owned by (i) Sapphire Ventures (GPE) I, L.L.C. (the "General Partner"), the general partner of the Fund and (ii) Nino Marakovic, the controlling managing member of the General Partner. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
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 Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
F8Each 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.