SEC Form 4 · accession 0001209191-17-022456
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark C. Burton
Director
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001374684
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $0.0525 | Mar 22, 2017 | J | 179,264 | D | — | Feb 14, 2019 | Common Stock | 179,264 | 0 | D |
| Stock Option (right to buy)F1,F2,F3 | $0.0525 | Mar 22, 2017 | J | 179,264 | A | — | Feb 14, 2019 | Class B Common Stock | 179,264 | 179,264 | D |
| Stock Option (right to buy)F1,F2 | $0.135 | Mar 22, 2017 | J | 55,500 | D | — | Jul 1, 2020 | Common Stock | 55,500 | 0 | D |
| Stock Option (right to buy)F1,F2,F3 | $0.135 | Mar 22, 2017 | J | 55,500 | A | — | Jul 1, 2020 | Class B Common Stock | 55,500 | 55,500 | D |
| Stock Option (right to buy)F1,F2 | $0.68 | Mar 22, 2017 | J | 67,722 | D | — | Mar 20, 2023 | Common Stock | 67,722 | 0 | D |
| Stock Option (right to buy)F1,F2,F3 | $0.68 | Mar 22, 2017 | J | 67,722 | A | — | Mar 20, 2023 | Class B Common Stock | 67,722 | 67,722 | D |
| Stock Option (right to buy)F4,F2 | $2.60 | Mar 22, 2017 | J | 10,000 | D | — | Feb 3, 2025 | Common Stock | 10,000 | 0 | D |
| Stock Option (right to buy)F4,F2,F3 | $2.60 | Mar 22, 2017 | J | 10,000 | A | — | Feb 3, 2025 | Class B Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F5,F2 | $7.28 | Mar 22, 2017 | J | 25,000 | D | — | Jun 16, 2026 | Common Stock | 25,000 | 0 | D |
| Stock Option (right to buy)F5,F2,F3 | $7.28 | Mar 22, 2017 | J | 25,000 | A | — | Jun 16, 2026 | Class B Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1The shares subject to the option are fully vested and exercisable.
- F2Immediately 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.
- F3Each 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.
- F41/48 of the shares subject to the option vested on March 3, 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.