SEC Form 4 · accession 0001104659-18-030347
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Christopher J Schaepe
10% Owner
Barry Eggers
10% Owner
Peter Nieh
10% Owner
Lightspeed General Partner VII, L.P.
10% Owner
Period of report
May 1, 2018
Accepted (ET)
May 3, 2018 · 6:55 pm 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | May 1, 2018 | C | 10,847,715 | — | A | 10,847,715 | I | By Lightspeed Venture Partners VII, L.P. |
| Class A Common StockF1,F3 | May 1, 2018 | C | 3,171,808 | — | A | 3,171,808 | I | By Lightspeed Venture Partners Select, L.P. |
| Class A Common StockF4,F2 | May 1, 2018 | U | 10,847,715 | — | D | 0 | I | By Lightspeed Venture Partners VII, L.P. |
| Class A Common StockF4,F3 | May 1, 2018 | U | 3,171,808 | — | D | 0 | I | By Lightspeed Venture Partners Select, L.P. |
| Class A Common StockF5,F4,F6 | May 1, 2018 | U | 4,099 | — | D | 0 | I | By Barry Eggers Revocable Trust dtd 6/4/2008 |
| Class A Common StockF7,F4 | May 1, 2018 | U | 170,647 | — | D | 0 | I | By Peter Y. Nieh |
| Class A Common StockF8,F4,F9 | May 1, 2018 | U | 164,330 | — | D | 0 | I | By The Schaepe-Chiu Living Trust Dated 11/5/1997 |
| Class A Common StockF4,F10 | May 1, 2018 | U | 945 | — | D | 0 | I | By Nieh Investments LP - Fund 3 |
| Class A Common StockF4,F11 | May 1, 2018 | U | 567 | — | D | 0 | I | By Schaepe-Chiu Investments I LP - Fund 2 |
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,F2 | — | May 1, 2018 | C | 10,847,715 | D | — | — | Class A Common Stock | 10,847,715 | 0 | I |
| Class B Common StockF1,F3 | — | May 1, 2018 | C | 3,171,808 | D | — | — | Class A Common Stock | 3,171,808 | 0 | I |
Explanation of responses
- F1Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.
- F10The shares were held of record by Nieh Family Investments LP - Fund 3. Peter Nieh serves as co-trustee of the general partner of such entity.
- F11The shares were held of record by Schaepe-Chiu Investments I LP - Fund 2. Christopher J. Schaepe serves as co-trustee of the general partner of such entity. Mr. Mhatre is a director of the Issuer and files separate reports under Section 16 with respect to his beneficial ownership of Issuer securities held by the Lightspeed entities.
- F2The shares were held of record by Lightspeed Venture Partners VII, L.P. ("Lightspeed VII"). Lightspeed Ultimate General Partner VII, Ltd. is the sole general partner of Lightspeed General Partner VII, L.P., which is the sole general partner of Lightspeed VII. The individual directors of Lightspeed Ultimate General Partner VII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim beneficial ownership of the shares except to the extent of their respective pecuniary interests therein.
- F3The shares were held of record by Lightspeed Select. Lightspeed Ultimate General Partner Select, Ltd. is the sole general partner of Lightspeed General Partner Select, L.P. ("LGP Select"), which is the sole general partner of Lightspeed Venture Partners Select, L.P. ("Lightspeed Select"). The individual directors of Lightspeed Ultimate General Partner Select, Ltd. are Barry Eggers, Jeremy Liew, Ravi Mhatre, Peter Nieh and Christopher J. Schaepe. Messrs. Eggers, Liew, Mhatre, Nieh and Schaepe disclaim beneficial ownership of the shares except to the extent of their respective pecuniary interests therein.
- F4Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock.
- F5Subsequent to Barry Eggers' most recent Section 16 report, Barry Eggers Revocable Trust dtd 6/4/2008 gifted 2,260 shares of Class A common stock, which transaction was not required to be reported on a Form 4.
- F6The shares were held of record by Barry Eggers Revocable Trust dtd 6/4/2008, for which Barry Eggers serves as trustee.
- F7Subsequent to Peter Nieh's most recent Section 16 report, Peter Nieh gifted 1,390 shares of Class A common stock, which transactions were not required to be reported on a Form 4.
- F8Subsequent to Christopher J. Schaepe's most recent Section 16 report, The Schaepe-Chiu Living Trust Dated November 5, 1997 gifted 8,085 shares of Class A common stock, which transactions were not required to be reported on a Form 4.
- F9The shares were held of record by The Schaepe-Chiu Living Trust Dated November 5, 1997, for which Christopher J. Schaepe serves as co-trustee.