SEC Form 4 · accession 0001140361-17-012960
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CISCO SYSTEMS, INC.
10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 6:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001374684
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series F Convertible Preferred StockF1 | — | Mar 22, 2017 | C | 153,045 | D | — | — | Class B Common Stock | 153,045 | 0 | D |
| Series G Convertible Preferred StockF1 | — | Mar 22, 2017 | C | 1,336,033 | D | — | — | Class B Common Stock | 1,336,033 | 0 | D |
| Class B Common StockF2 | — | Mar 22, 2017 | C | 1,489,078 | D | — | — | Class A Common Stock | 1,489,078 | 1,489,078 | D |
Explanation of responses
- F1The convertible preferred stock converted into the issuer's Class B Common Stock on a 1-for-1 basis on the closing of the issuer's initial public offering and had no expiration date.
- F2The Class B Common Stock is convertible at the holder's election into Class A Common Stock on a 1-for-1 basis and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain transfers described in the issuer's certificate of incorporation.