SEC Form 4 · accession 0001209191-17-022450
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory George Schott
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:06 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 22, 2017 | J | 2,040,433 | — | D | 0 | 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 StockF1,F2 | — | Mar 22, 2017 | J | 2,040,433 | A | — | — | Class A Common Stock | 2,040,433 | 2,040,433 | D |
| Stock Option (right to buy)F3,F1 | $0.2625 | Mar 22, 2017 | J | 443,408 | D | — | Sep 13, 2022 | Common Stock | 443,408 | 0 | D |
| Stock Option (right to buy)F3,F1,F2 | $0.2625 | Mar 22, 2017 | J | 443,408 | A | — | Sep 13, 2022 | Class B Common Stock | 443,408 | 443,408 | D |
| Stock Option (right to buy)F4,F1 | $0.68 | Mar 22, 2017 | J | 593,751 | D | — | Dec 24, 2023 | Common Stock | 593,751 | 0 | D |
| Stock Option (right to buy)F4,F1,F2 | $0.68 | Mar 22, 2017 | J | 593,751 | A | — | Dec 24, 2023 | Class B Common Stock | 593,751 | 593,751 | D |
| Stock Option (right to buy)F5,F1 | $2.60 | Mar 22, 2017 | J | 1,520,000 | D | — | Feb 3, 2025 | Common Stock | 1,520,000 | 0 | D |
| Stock Option (right to buy)F5,F1,F2 | $2.60 | Mar 22, 2017 | J | 1,520,000 | A | — | Feb 3, 2025 | Class B Common Stock | 1,520,000 | 1,520,000 | D |
Explanation of responses
- F1Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
- 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 shares subject to the option are fully vested and exercisable.
- F41/48 of the shares subject to the option vested on January 24, 2014, and 1/48 of the shares vest monthly thereafter. The original grant for 723,172 shares was exercised for 129,421 shares on August 27, 2016.
- F51/48 of the shares subject to the option vested on April 1, 2016, and 1/48 of the shares vest monthly thereafter.