SEC Form 4 · accession 0001209191-17-022463

MULESOFT, INC · MULE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Ravi Mhatre

Director · 10% Owner

Period of report

Mar 22, 2017

Accepted (ET)

Mar 22, 2017 · 8:32 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 Stock^{F1,F2,F3,F4,F5}	Mar 22, 2017	C	15,747,715	—	A	15,747,715	I	See footnote
Common Stock^F6,F5	Mar 22, 2017	J	15,747,715	—	D	0	I	See footnote
Common Stock^F7,F8,F9	Mar 22, 2017	C	2,956,804	—	A	3,571,808	I	See footnote
Common Stock^F6,F9	Mar 22, 2017	J	3,571,808	—	D	0	I	See footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F1,F5	—	Mar 22, 2017	C	9,950,576	D	—	—	Common Stock	9,950,576	0	I
Series C Preferred Stock^F2,F5	—	Mar 22, 2017	C	2,742,060	D	—	—	Common Stock	2,742,060	0	I
Series D Preferred Stock^F3,F5	—	Mar 22, 2017	C	1,580,300	D	—	—	Common Stock	1,580,300	0	I
Series E Preferred Stock^F4,F5	—	Mar 22, 2017	C	1,474,779	D	—	—	Common Stock	1,474,779	0	I
Series F Preferred Stock^F7,F9	—	Mar 22, 2017	C	2,066,115	D	—	—	Common Stock	2,066,115	0	I
Series G Preferred Stock^F8,F9	—	Mar 22, 2017	C	890,689	D	—	—	Common Stock	890,689	0	I
Class B Common Stock^F6,F10,F5	—	Mar 22, 2017	J	15,747,715	A	—	—	Class A Common Stock	15,747,715	15,747,715	I
Class B Common Stock^F6,F10,F9	—	Mar 22, 2017	J	3,571,808	A	—	—	Class A Common Stock	3,571,808	3,571,808	I

Explanation of responses

F1The Series B Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F10Each 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.
F2The Series C Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F3The Series D Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F4The Series E Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F5The shares are held of record by Lightspeed Venture Partners VII, L.P. ("Lightspeed VII"). Lightspeed General Partner VII, L.P. ("Lightspeed GP") is the general partner of Lightspeed VII. Lightspeed Ultimate General Partner VII, Ltd. ("Lightspeed UGP") is the general partner of Lightspeed GP. As a managing director of Lightspeed UGP, the reporting person shares voting and dispositive power with respect to the shares held of record by Lightspeed VII. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F6Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's convertible preferred stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7.
F7The Series F Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F8The Series G Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
F9The shares are held of record by Lightspeed Venture Partners Select, L.P. ("Lightspeed Select"). Lightspeed General Partner Select, L.P. ("Select GP") is the general partner of Lightspeed Select. Lightspeed Ultimate General Partner Select, Ltd. ("Select UGP") is the general partner of Select GP. As a managing director of Select UGP, the reporting person shares voting and dispositive power with respect to the shares held of record by Lightspeed Select. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.