SEC Form 4 · accession 0001209191-17-022470
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ross Mason
10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 8:41 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 | 6,122,401 | — | 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 | 6,122,401 | A | — | — | Class A Common Stock | 6,122,401 | 6,122,401 | D |
| Stock Option (right to buy)F3,F1 | $0.135 | Mar 22, 2017 | J | 570,014 | D | — | Jul 1, 2020 | Common Stock | 570,014 | 0 | D |
| Stock Option (right to buy)F3,F1,F2 | $0.135 | Mar 22, 2017 | J | 570,014 | A | — | Jul 1, 2020 | Class B Common Stock | 570,014 | 570,014 | 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.
- F3The shares subject to the option are fully vested and exercisable.