SEC Form 4 · accession 0001144204-17-049572

MULESOFT, INC · MULE

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

Reporting owner

Ann L Winblad

Director · 10% Owner

Period of report

Sep 21, 2017

Accepted (ET)

Sep 25, 2017 · 9:23 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 Stock^F1,F2,F3,F4	Sep 21, 2017	C	17,847,745	—	A	17,847,745	I	See footnote

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 Stock^F5,F2,F3,F4	—	Sep 21, 2017	C	17,847,745	D	—	—	Class A Common Stock	17,847,745	0	I

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. The Reporting Person is a managing member of HW Equity V and shares voting and dispositive power with respect to the shares held of record by HWVP V and HWVP V-A. HW Equity V and the Reporting Person 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. The Reporting Person is a managing member of HW Equity VI and share voting and dispositive power with respect to the shares held of record by HWVP VI. HW Equity VI and the Reporting Person 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 Hummer Winblad Venture Partners V, L.P.