SEC Form 4 · accession 0001209191-17-022455
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Parmett
Officer — President, Field Operations
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:16 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 | 367,461 | — | 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 | 367,461 | A | — | — | Class A Common Stock | 367,461 | 367,461 | D |
| Stock Option (right to buy)F3,F1 | $0.68 | Mar 22, 2017 | J | 251,200 | D | — | Mar 20, 2023 | Common Stock | 251,200 | 0 | D |
| Stock Option (right to buy)F3,F1,F2 | $0.68 | Mar 22, 2017 | J | 251,200 | A | — | Mar 20, 2023 | Class B Common Stock | 251,200 | 251,200 | D |
| Stock Option (right to buy)F4,F1 | $2.60 | Mar 22, 2017 | J | 300,000 | D | — | Feb 3, 2025 | Common Stock | 300,000 | 0 | D |
| Stock Option (right to buy)F4,F1,F2 | $2.60 | Mar 22, 2017 | J | 300,000 | A | — | Feb 3, 2025 | Class B Common Stock | 300,000 | 300,000 | D |
| Stock Option (right to buy)F5,F1 | $7.28 | Mar 22, 2017 | J | 250,000 | D | — | Jun 16, 2026 | Common Stock | 250,000 | 0 | D |
| Stock Option (right to buy)F5,F1,F2 | $7.28 | Mar 22, 2017 | J | 250,000 | A | — | Jun 16, 2026 | Class B Common Stock | 250,000 | 250,000 | D |
| Stock Option (right to buy)F6,F1 | $7.28 | Mar 22, 2017 | J | 284,375 | D | — | Jun 16, 2026 | Common Stock | 284,375 | 0 | D |
| Stock Option (right to buy)F6,F1,F2 | $7.28 | Mar 22, 2017 | J | 284,375 | A | — | Jun 16, 2026 | Class B Common Stock | 284,375 | 284,375 | 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.
- F31/48 of the shares subject to the option vested on April 20, 2013, and 1/48 of the shares vest monthly thereafter. The original grant of 400,000 shares was exercised for 148,800 shares on July 13, 2015.
- F41/48 of the shares subject to the option vested on June 1, 2015, and 1/48 of the shares vest monthly thereafter.
- F51/48 of the shares subject to the option vested on August 1, 2016, and 1/48 of the shares vest monthly thereafter.
- F61/39 of the shares subject to the option will vest on May 1, 2017, and 1/39 of the shares will vest monthly thereafter.