SEC Form 4 · accession 0001209191-17-022483
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Paul S Madera
10% Owner
Michael B Gordon
10% Owner
George Bischof
10% Owner
Rob Ward
10% Owner
Meritech Capital Partners IV L.P.
10% Owner
Meritech Capital Affiliates IV L.P.
10% Owner
Craig Sherman
10% Owner
Period of report
Mar 22, 2017
Accepted (ET)
Mar 22, 2017 · 9:43 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 | Mar 22, 2017 | C | 1,480,111 | — | A | 3,371,810 | I | See footnote |
| Common StockF4,F3 | Mar 22, 2017 | J | 3,371,810 | — | D | 0 | I | See footnote |
| Common StockF1,F2,F5 | Mar 22, 2017 | C | 36,551 | — | A | 83,270 | I | See footnote |
| Common StockF4,F5 | Mar 22, 2017 | J | 83,270 | — | 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 F Preferred StockF1,F3 | — | Mar 22, 2017 | C | 1,045,500 | D | — | — | Common Stock | 1,045,500 | 0 | I |
| Series G Preferred StockF2,F3 | — | Mar 22, 2017 | C | 434,611 | D | — | — | Common Stock | 434,611 | 0 | I |
| Class B Common StockF4,F6,F3 | — | Mar 22, 2017 | J | 3,371,810 | A | — | — | Class A Common Stock | 3,371,810 | 3,371,810 | I |
| Series F Preferred StockF1,F5 | — | Mar 22, 2017 | C | 25,819 | D | — | — | Common Stock | 25,819 | 0 | I |
| Series G Preferred StockF2,F5 | — | Mar 22, 2017 | C | 10,732 | D | — | — | Common Stock | 10,732 | 0 | I |
| Class B Common StockF4,F6,F5 | — | Mar 22, 2017 | J | 83,270 | A | — | — | Class A Common Stock | 83,270 | 83,270 | I |
Explanation of responses
- F1The 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.
- F2The 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.
- F3Shares are held by Meritech Capital Partners IV L.P. ("MCP IV"). Meritech Capital Associates IV L.L.C., the general partner of MCP IV, has sole voting and dispositive power with respect to the securities held by MCP IV. Paul S. Madera, Michael B. Gordon, Robert D. Ward, George H. Bischof and Craig Sherman, the managing members of Meritech Capital Associates IV L.L.C., share voting and dispositive power with respect to the shares held by MCP IV. Such persons and entities disclaim beneficial ownership of the securities held by MCP IV except to the extent of any pecuniary interest therein.
- F4Immediately 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.
- F5Shares are held by Meritech Capital Affiliates IV L.P. ("MCA IV"). Meritech Capital Associates IV L.L.C., the general partner of MCA IV, has sole voting and dispositive power with respect to the securities held by MCA IV. Paul S. Madera, Michael B. Gordon, Robert D. Ward, George H. Bischof and Craig Sherman, the managing members of Meritech Capital Associates IV L.L.C., share voting and dispositive power with respect to the shares held by MCA IV. Such persons and entities disclaim beneficial ownership of the securities held by MCA IV except to the extent of any pecuniary interest therein.
- F6Each 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.