SEC Form 4 · accession 0001209191-17-022471
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
New Enterprise Associates 14, L.P.
10% Owner
NEA Partners 14, L.P.
10% Owner
NEA 14 GP, LTD
10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 9:12 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 | 12,359,190 | — | A | 12,679,970 | D | |
| Common StockF6,F5 | Mar 22, 2017 | J | 12,679,970 | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1,F5 | — | Mar 22, 2017 | C | 1,689,436 | D | — | — | Common Stock | 1,689,436 | 0 | D |
| Series E Preferred StockF2,F5 | — | Mar 22, 2017 | C | 8,000,038 | D | — | — | Common Stock | 8,000,038 | 0 | D |
| Series F Preferred StockF3,F5 | — | Mar 22, 2017 | C | 2,064,048 | D | — | — | Common Stock | 2,064,048 | 0 | D |
| Series G Preferred StockF4,F5 | — | Mar 22, 2017 | C | 605,668 | D | — | — | Common Stock | 605,668 | 0 | D |
| Class B Common StockF6,F7,F5 | — | Mar 22, 2017 | J | 12,679,970 | A | — | — | Class A Common Stock | 12,679,970 | 12,679,970 | D |
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.
- F2The 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.
- F3The 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.
- F4The 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.
- F5The securities are directly held by New Enterprise Associates 14, L.P. ("NEA 14") and are indirectly held by NEA Partners 14, L.P. ("NEA Partners 14"), the sole general partner of NEA 14, NEA 14 GP, LTD ("NEA 14 LTD"), the sole general partner of NEA Partners 14 and each of the individual directors of NEA 14 LTD (NEA Partners 14, NEA 14 LTD and the individual directors of NEA 14 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 14 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Anthony A. Florence, Jr., Patrick J. Kerins, David M. Mott, Scott D. Sandell, Peter W. Sonsini and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 securities in which the Indirect Reporting Persons have no pecuniary interest.
- 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.
- F7Each 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.