SEC Form 4 · accession 0001144204-17-047506
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
Sep 7, 2017
Accepted (ET)
Sep 11, 2017 · 5:38 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,F3 | Sep 7, 2017 | C | 7,627,018 | — | A | 7,627,018 | D |
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 StockF2,F3 | — | Sep 7, 2017 | C | 7,627,018 | D | — | — | Class A Common Stock | 7,627,018 | 0 | D |
Explanation of responses
- F1This transaction involves the conversion of Class B Common Stock to Class A Common Stock on a 1-1 basis.
- F2Each 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.
- F3The 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.