SEC Form 4 · accession 0001209191-17-022468
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann L Winblad
Director · 10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:39 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,F6,F7,F8,F9,F10 | Mar 22, 2017 | C | 17,847,745 | — | A | 17,847,745 | I | See footnote |
| Common StockF11,F8,F9,F10 | Mar 22, 2017 | J | 17,847,745 | — | 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 A Preferred StockF1,F9,F12 | — | Mar 22, 2017 | C | 8,846,620 | D | — | — | Common Stock | 8,846,620 | 0 | I |
| Series B Preferred StockF2,F9,F12 | — | Mar 22, 2017 | C | 3,207,752 | D | — | — | Common Stock | 3,207,752 | 0 | I |
| Series C Preferred StockF3,F9,F12 | — | Mar 22, 2017 | C | 2,740,048 | D | — | — | Common Stock | 2,740,048 | 0 | I |
| Series D Preferred StockF4,F9,F12 | — | Mar 22, 2017 | C | 1,478,388 | D | — | — | Common Stock | 1,478,388 | 0 | I |
| Series E Preferred StockF5,F9,F12 | — | Mar 22, 2017 | C | 800,804 | D | — | — | Common Stock | 800,804 | 0 | I |
| Series F Preferred StockF6,F9,F10,F13 | — | Mar 22, 2017 | C | 765,227 | D | — | — | Common Stock | 765,227 | 0 | I |
| Series G Preferred StockF7,F9,F10,F14 | — | Mar 22, 2017 | C | 8,906 | D | — | — | Common Stock | 8,906 | 0 | I |
| Class B Common StockF11,F15,F8,F9,F10 | — | Mar 22, 2017 | J | 17,847,745 | A | — | — | Class A Common Stock | 17,847,745 | 17,847,745 | I |
Explanation of responses
- F1The Series A 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.
- F10Hummer Winblad Equity Partners VI, L.L.C. ("HW Equity VI") is the general partner of HWVP VI. The Reporting Person is a managing member of HW Equity VI and shares voting and dispositive power with respect to the shares held of record by HWVP VI. HW Equity VI and the Reporting Person disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein.
- F11Immediately 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.
- F12The shares are held of record by HWVP V for itself and as nominee for HWVP VA.
- F13Consists of 459,136 shares held of record by HWVP V for itself and as nominee for HWVP VA and 306,091 shares held of record by HWVP VI.
- F14Consists of 7,821 shares held of record by HWVP V for itself and as nominee for HWVP VA and 1,085 shares held of record by HWVP VI.
- F15Each 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 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.
- F3The 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.
- F4The 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.
- F5The 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.
- F6The 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.
- F7The 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.
- F8Consists of 17,540,569 shares held of record by Hummer Winblad Venture Partners V, L.P. ("HWVP V") for itself and as nominee for Hummer Winblad Venture Partners V-A, L.P. ("HWVP VA") and 307,176 shares held of record by Hummer Winblad Venture Partners VI, L.P. ("HWVP VI").
- F9Hummer Winblad Equity Partners V, L.L.C. ("HW Equity V") is the general partner of HWVP V and HWVP VA. The Reporting Person is a managing member of HW Equity V and shares voting and dispositive power with respect to the shares held of record by HWVP V. HW Equity V and the Reporting Person disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein.
Remarks
This Form 4 is one of two Form 4s filed on the date hereof in respect of these shares. The Reporting Person for the other Form 4 is Hummer Winblad Venture Partners V, L.P.