SEC Form 4 · accession 0001144204-17-049571
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
HUMMER WINBLAD VENTURE PARTNERS V LP
10% Owner
Mitchell Kertzman
10% Owner
John Hummer
10% Owner
Period of report
Sep 21, 2017
Accepted (ET)
Sep 25, 2017 · 9:22 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,F3,F4 | Sep 21, 2017 | C | 17,847,745 | — | A | 17,847,745 | 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 StockF5,F2,F3,F4 | — | Sep 21, 2017 | C | 17,847,745 | D | — | — | Class A Common Stock | 17,847,745 | 17,847,745 | D |
Explanation of responses
- F1This transaction involves the conversion of Class B Common Stock to Class A Common Stock on a 1:1 basis for no additional consideration.
- F2Consists of 17,540,569 shares held of record by Hummer Winblad Venture Partners V, L.P. ("HWVP V") for itself and as nominee for Hummer Winblad Venture Partners V-A, L.P. ("HWVP V-A") and 307,176 shares held of record by Hummer Winblad Venture Partners VI, L.P. ("HWVP VI").
- F3Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V") is the general partner of HWVP V and HWVP V-A. John Hummer, Mitchell Kertzman and Ann Winblad are the managing members of HW Equity V and share voting and dispositive power with respect to the shares held of record by HWVP V and HWVP V-A. HW Equity V, Mr. Hummer, Mr. Kertzman and Ms. Winblad disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein.
- F4Hummer Winblad Equity Partners VI, L.L.C. ("HW Equity VI") is the general partner of HWVP VI. John Hummer, Mitchell Kertzman and Ann Winblad are the managing members of HW Equity VI and share voting and dispositive power with respect to the shares held of record by HWVP VI. HW Equity VI, Mr. Hummer, Mr. Kertzman and Ms. Winblad disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein.
- F5Each 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.
Remarks
This Form 4 is one of two Form 4s filed on the date hereof in respect of these shares. The Reporting Person on the other Form 4 is Ann Winblad.