SEC Form 4 · accession 0001209191-17-022466
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Christopher J Schaepe
10% Owner
Barry Eggers
10% Owner
Peter Nieh
10% Owner
Lightspeed General Partner VII, L.P.
10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:33 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,F2,F3,F4,F5 | Mar 22, 2017 | C | 15,747,715 | — | A | 15,747,715 | D | |
| Common StockF6,F5 | Mar 22, 2017 | J | 15,747,715 | — | D | 0 | D | |
| Common StockF7,F8,F9 | Mar 22, 2017 | C | 2,956,804 | — | A | 3,571,808 | I | See footnote |
| Common StockF6,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 StockF1,F5 | — | Mar 22, 2017 | C | 9,950,576 | D | — | — | Common Stock | 9,950,576 | 0 | D |
| Series C Preferred StockF2,F5 | — | Mar 22, 2017 | C | 2,742,060 | D | — | — | Common Stock | 2,742,060 | 0 | D |
| Series D Preferred StockF3,F5 | — | Mar 22, 2017 | C | 1,580,300 | D | — | — | Common Stock | 1,580,300 | 0 | D |
| Series E Preferred StockF4,F5 | — | Mar 22, 2017 | C | 1,474,779 | D | — | — | Common Stock | 1,474,779 | 0 | D |
| Series F Preferred StockF7,F9 | — | Mar 22, 2017 | C | 2,066,115 | D | — | — | Common Stock | 2,066,115 | 0 | I |
| Series G Preferred StockF8,F9 | — | Mar 22, 2017 | C | 890,689 | D | — | — | Common Stock | 890,689 | 0 | I |
| Class B Common StockF6,F10,F5 | — | Mar 22, 2017 | J | 15,747,715 | A | — | — | Class A Common Stock | 15,747,715 | 15,747,715 | D |
| Class B Common StockF6,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. Barry Eggers, Ravi Mhatre, Peter Nieh and Christopher Schaepe are the managing directors of Lightspeed UGP and share voting and dispositive power with respect to the shares held of record by Lightspeed VII. Each reporting person disclaims beneficial ownership of such shares except to the extent of his or its 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. Barry Eggers, Christopher Schaepe, Jeremy Liew, John Vrionis, Peter Nieh and Ravi Mhatre are the managing directors of Select UGP and share voting and dispositive power with respect to the shares held of record by Lightspeed Select. Each reporting person disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein.
Remarks
This filing is Part 1 of 2.