SEC Form 4 · accession 0001209191-17-053273
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
Sep 18, 2017
Accepted (ET)
Sep 19, 2017 · 2:36 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 StockF2 | Sep 18, 2017 | J | 1,990,000 | $0.00 | D | 3,036,747 | I | See footnote |
| Class A Common StockF4 | Sep 18, 2017 | J | 10,000 | $0.00 | D | 21,660 | I | See footnote |
| Class A Common StockF5 | Sep 18, 2017 | J | 62,359 | $0.00 | A | 127,111 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a pro-rata, in-kind distribution by Bay Partners XI, L.P. ("BP XI") without additional consideration, to its respective partners, members and assigns.
- F2Shares are held by 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).
- F3Represents a pro-rata, in-kind distribution by Bay Partners XI Parallel Fund, L.P. ("Parallel XI") without additional consideration, to its respective partners, members and assigns.
- F4Shares are held by 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).
- F5Shares are owned directly by Stuart G. Phillips.