SEC Form 4 · accession 0001209191-17-022474

MULESOFT, INC · MULE

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

Reporting owner

Forest Baskett

10% Owner

Period of report

Mar 22, 2017

Accepted (ET)

Mar 22, 2017 · 9:14 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	12,359,190	—	A	12,679,970	I	See Note 5
Common Stock^F6,F5	Mar 22, 2017	J	12,679,970	—	D	0	I	See Note 5
Common Stock^F1,F4,F7	Mar 22, 2017	C	2,576,939	—	A	2,576,939	I	See Note 7
Common Stock^F6,F7	Mar 22, 2017	J	2,576,939	—	D	0	I	See Note 7
Common Stock^F1,F4,F8	Mar 22, 2017	C	858,978	—	A	858,978	I	See Note 8
Common Stock^F6,F8	Mar 22, 2017	J	858,978	—	D	0	I	See Note 8

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 Stock^F1,F5	—	Mar 22, 2017	C	1,689,436	D	—	—	Common Stock	1,689,436	0	I
Series E Preferred Stock^F2,F5	—	Mar 22, 2017	C	8,000,038	D	—	—	Common Stock	8,000,038	0	I
Series F Preferred Stock^F3,F5	—	Mar 22, 2017	C	2,064,048	D	—	—	Common Stock	2,064,048	0	I
Series G Preferred Stock^F4,F5	—	Mar 22, 2017	C	605,668	D	—	—	Common Stock	605,668	0	I
Series A Preferred Stock^F1,F7	—	Mar 22, 2017	C	1,895,562	D	—	—	Common Stock	1,895,562	0	I
Series G Preferred Stock^F4,F7	—	Mar 22, 2017	C	681,377	D	—	—	Common Stock	681,377	0	I
Series A Preferred Stock^F1,F8	—	Mar 22, 2017	C	631,853	D	—	—	Common Stock	631,853	0	I
Series G Preferred Stock^F4,F8	—	Mar 22, 2017	C	227,125	D	—	—	Common Stock	227,125	0	I
Class B Common Stock^F6,F9,F5	—	Mar 22, 2017	J	12,679,970	A	—	—	Class A Common Stock	12,679,970	12,679,970	I
Class B Common Stock^F6,F9,F7	—	Mar 22, 2017	J	2,576,939	A	—	—	Class A Common Stock	2,576,939	2,576,939	I
Class B Common Stock^F6,F9,F8	—	Mar 22, 2017	J	858,978	A	—	—	Class A Common Stock	858,978	858,978	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.
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 Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims 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 shares in which the Reporting Person has 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.
F7The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15, L.P. ("NEA Partners 15"). NEA Partners 15 is the sole general partner of New Enterprise Associates 15, L. P. ("NEA 15"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15 in which the Reporting Person has no pecuniary interest.
F8The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L.P. ("NEA 15-OF"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 15-OF in which the Reporting Person has no pecuniary interest.
F9Each 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.