SEC Form 4 · accession 0001144204-17-059462
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 13, 2017
Accepted (ET)
Nov 15, 2017 · 4:55 pm EST
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,F3 | Nov 13, 2017 | J | 1,227,226 | $0.00 | D | 14,560,163 | D | |
| Class A Common StockF5 | Nov 13, 2017 | J | 92,220 | $0.00 | A | 161,799 | D | |
| Class A Common StockF7 | Nov 14, 2017 | S | 46,110 | $23.01 | D | 115,689 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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 911,222 shares to its limited partners on a pro rata basis and 316,004 shares to its general partner, Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V"). HW Equity V subsequently distributed 316,004 shares on a pro rata basis for no additional consideration to its members and assignees.
- F2Consists of 14,551,393 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.
- F3HW Equity V is the general partner of HWVP V. 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. HW Equity V, Mr. Hummer, Mr. Kertzman and Ms. Winblad disclaim beneficial ownership of such shares except the extent of their pecuniary interests therein.
- F4Represents 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.
- F5Consists of 115,689 shares held directly by Mr. Hummer and 46,110 shares held directly by Mr. Kertzman.
- F6Represents a sale of 46,110 shares held by Mr. Kertzman.
- F7Consists of 115,689 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.