SEC Form 4 · accession 0001144204-17-056311
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
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 5:26 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 StockF2 | Nov 1, 2017 | S | 32,936 | $23.44 | D | 32,936 | D | |
| Class A Common StockF4,F5 | Nov 1, 2017 | J | 876,590 | $0.00 | D | 15,787,389 | D | |
| Class A Common StockF7 | Nov 1, 2017 | J | 65,872 | $0.00 | A | 98,808 | D | |
| Class A Common StockF9 | Nov 2, 2017 | S | 32,936 | $23.59 | D | 65,872 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a sale of 32, 936 shares held by Mitchell Kertzman, a managing member of Hummer Winblad Equity Partners V, L.L.C ("HW Equity V").
- F2Consists of 32,936 shares held by John Hummer, a managing member of HW Equity V.
- F3Represents a pro-rata, in-kind distribution by Hummer Winblad Venture Partners V, L.P. ("HWVP V") without additional consideration, to its partners. HWVP V distributed an aggregate of 650,868 shares to its limited partners on a pro rata basis and 225,722 shares to its general partner, HW Equity V. HW Equity V subsequently distributed 225,722 shares on a pro rata basis for no additional consideration to its members and assignees.
- F4Consists of 15,778,619 shares held of record by HWVP V for itself and 8,770 shares held of record by HWVP V as nominee for Hummer Winblad Venture Partners V-A, L.P.
- F5HW Equity V is the general partner of HWVP V. Mr. Hummer, Mr. 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. HW Equity V, Mr. Hummer, Mr. Kertzman and Ms. Winblad disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein.
- F6Represents a change in the form of ownership as a result of a pro-rata, in-kind distribution by HWVP V to HW Equity V and the subsequent pro-rata, in-kind distribution by HW Equity V to its members and assignees, including Mr. Hummer and Mr. Kertzman.
- F7Consists of 65,872 shares held directly by Mr. Hummer and 32,936 shares held directly by Mr. Kertzman
- F8Represents a sale of 32, 936 shares held by Mr. Kertzman.
- F9Consists of 65,872 shares held by Mr. Hummer.
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.