SEC Form 4 · accession 0001209191-17-022525

MULESOFT, INC · MULE

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

Reporting owners

Stuart G Phillips

10% Owner

Bay Partners XI L P

10% Owner

BAY PARTNERS XI PARALLEL FUND L P

10% Owner

Bay Management Co XI LLC

10% Owner

Period of report

Mar 22, 2017

Accepted (ET)

Mar 23, 2017 · 12:46 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,F6}	Mar 22, 2017	C	7,016,747	—	A	7,016,747	I	See footnote
Common Stock^F7,F6	Mar 22, 2017	J	7,016,747	—	D	0	I	See footnote
Common Stock^{F1,F2,F3,F4,F5,F8}	Mar 22, 2017	C	41,660	—	A	41,660	I	See footnote
Common Stock^F7,F8	Mar 22, 2017	J	41,660	—	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 C Preferred Stock^F1,F6	—	Mar 22, 2017	C	2,090,140	D	—	—	Common Stock	2,090,140	0	I
Series D Preferred Stock^F2,F6	—	Mar 22, 2017	C	3,769,208	D	—	—	Common Stock	3,769,208	0	I
Series E Preferred Stock^F3,F6	—	Mar 22, 2017	C	460,637	D	—	—	Common Stock	460,637	0	I
Series F Preferred Stock^F4,F6	—	Mar 22, 2017	C	608,264	D	—	—	Common Stock	608,264	0	I
Series G Preferred Stock^F5,F6	—	Mar 22, 2017	C	88,498	D	—	—	Common Stock	88,498	0	I
Class B Common Stock^F7,F9,F6	—	Mar 22, 2017	J	7,016,747	A	—	—	Class A Common Stock	7,016,747	7,016,747	I
Series C Preferred Stock^F1,F8	—	Mar 22, 2017	C	10,504	D	—	—	Common Stock	10,504	0	I
Series D Preferred Stock^F2,F8	—	Mar 22, 2017	C	23,516	D	—	—	Common Stock	23,516	0	I
Series E Preferred Stock^F3,F8	—	Mar 22, 2017	C	3,153	D	—	—	Common Stock	3,153	0	I
Series F Preferred Stock^F4,F8	—	Mar 22, 2017	C	3,917	D	—	—	Common Stock	3,917	0	I
Series G Preferred Stock^F5,F8	—	Mar 22, 2017	C	570	D	—	—	Common Stock	570	0	I
Class B Common Stock^F7,F9,F8	—	Mar 22, 2017	J	41,660	A	—	—	Class A Common Stock	41,660	41,660	I

Explanation of responses

F1The 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.
F2The 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.
F3The 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.
F4The 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.
F5The 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.
F6Shares are held by Bay Partners XI, L.P. ("BP XI"). Bay Management Company XI, LLC ("BMC XI"), the general partner of BP XI, has sole voting and dispositive power with respect to the shares held by BP XI. Stuart G. Phillips, the managing member of BMC XI, has sole voting and dispositive power with respect to the shares held by BP XI. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities).
F7Immediately 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.
F8Shares are held by Bay Partners XI Parallel Fund, L.P. ("Parallel XI"). BMC XI, the general partner of Parallel XI, has sole voting and dispositive power with respect to the shares held by Parallel XI. Stuart G. Phillips, the managing member of BMC XI, has sole voting and dispositive power with respect to the shares held by Parallel XI. Each such person and entity disclaims the existence of a "group" and disclaims beneficial ownership of any securities (except to the extent of such person's or entity's pecuniary interest in such securities).
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.