SEC Form 4 · accession 0001209191-17-022453
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Horton
Officer — SVP People Ops, GC & Secretary
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:10 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 | 303,737 | — | 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 | 303,737 | A | — | — | Class A Common Stock | 303,737 | 303,737 | D |
| Stock Option (right to buy)F3,F1 | $0.68 | Mar 22, 2017 | J | 121,414 | D | — | Aug 29, 2023 | Common Stock | 121,414 | 0 | D |
| Stock Option (right to buy)F3,F1,F2 | $0.68 | Mar 22, 2017 | J | 121,414 | A | — | Aug 29, 2023 | Class B Common Stock | 121,414 | 121,414 | D |
| Stock Option (right to buy)F4,F1 | $2.60 | Mar 22, 2017 | J | 32,292 | D | — | Feb 3, 2025 | Common Stock | 32,292 | 0 | D |
| Stock Option (right to buy)F4,F1,F2 | $2.60 | Mar 22, 2017 | J | 32,292 | A | — | Feb 3, 2025 | Class B Common Stock | 32,292 | 32,292 | D |
| Stock Option (right to buy)F5,F1 | $7.28 | Mar 22, 2017 | J | 50,000 | D | — | Jun 16, 2026 | Common Stock | 50,000 | 0 | D |
| Stock Option (right to buy)F5,F1,F2 | $7.28 | Mar 22, 2017 | J | 50,000 | A | — | Jun 16, 2026 | Class B Common Stock | 50,000 | 50,000 | D |
| Stock Option (right to buy)F6,F1 | $7.28 | Mar 22, 2017 | J | 225,000 | D | — | Jun 16, 2026 | Common Stock | 225,000 | 0 | D |
| Stock Option (right to buy)F6,F1,F2 | $7.28 | Mar 22, 2017 | J | 225,000 | A | — | Jun 16, 2026 | Class B Common Stock | 225,000 | 225,000 | 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.
- F391,870 shares subject to the option vested on July 15, 2014, and 1/36 of the remaining shares vest monthly thereafter. The original grant for 489,225 shares was exercised for 49,190 shares on July 13, 2015, 113,000 shares on July 22, 2015, and 205,621 shares on August 27, 2016.
- F41/48 of the shares subject to the option vested on March 3, 2015, and 1/48 of the shares vest monthly thereafter. The original grant for 50,000 shares was exercised for 17,708 shares on August 27, 2016.
- F51/48 of the shares subject to the option vested on August 1, 2016, and 1/48 of the shares vest monthly thereafter.
- F61/36 of the shares subject to the option will vest on September 1, 2017, and 1/36 of the shares will vest monthly thereafter.