SEC Form 4 · accession 0001209191-17-050920
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
Aug 29, 2017
Accepted (ET)
Aug 31, 2017 · 5:14 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 |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Aug 29, 2017 | C | 7,016,747 | $0.00 | A | 7,016,747 | I | See footnote |
| Class A Common StockF2 | Aug 29, 2017 | C | 41,660 | $0.00 | A | 41,660 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF1,F3 | — | Aug 29, 2017 | C | 7,016,747 | D | — | — | Class A Common Stock | 7,016,747 | 0 | I |
| Class B Common StockF2,F3 | — | Aug 29, 2017 | C | 41,660 | D | — | — | Class A Common Stock | 41,660 | 0 | I |
Explanation of responses
- F1Shares 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).
- F2Shares 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).
- F3Each 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.