SEC Form 4 · accession 0001209191-17-060781

MULESOFT, INC · MULE

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

Reporting owner

Officer — President, Field Operations

Period of report

Nov 10, 2017

Accepted (ET)

Nov 14, 2017 · 9:16 pm EST

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
Class A Common Stock^F1,F2	Nov 10, 2017	C	30,000	—	A	31,453	D
Class A Common Stock^F4	Nov 10, 2017	S	30,000	$23.4533	D	1,453	D
Class A Common Stock^F1	Nov 13, 2017	C	21,536	—	A	22,989	D
Class A Common Stock^F5	Nov 13, 2017	S	21,536	$23.3725	D	1,453	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F6	$2.60	Nov 10, 2017	M	30,000	D	—	Feb 3, 2025	Class B Common Stock	30,000	270,000	D
Class B Common Stock^F1	$2.60	Nov 10, 2017	M	30,000	A	—	—	Class A Common Stock	30,000	397,461	D
Class B Common Stock^F1	—	Nov 10, 2017	C	30,000	D	—	—	Class A Common Stock	30,000	367,461	D
Employee Stock Option (right to buy)^F6	$2.60	Nov 13, 2017	M	21,536	D	—	Feb 3, 2025	Class B Common Stock	21,536	248,464	D
Class B Common Stock^F1	$2.60	Nov 13, 2017	M	21,536	A	—	—	Class A Common Stock	21,536	388,997	D
Class B Common Stock^F1	—	Nov 13, 2017	C	21,536	D	—	—	Class A Common Stock	21,536	367,461	D

F1Each 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.
F2Includes 1,453 shares acquired under the Issuer's 2017 Employee Stock Purchase Plan on November 10, 2017 in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
F3The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 6, 2017
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.09 to $23.735, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4) and (5) to this Form 4.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.13 to $23.66, inclusive.
F6Shares subject to the option vest in forty-eight equal monthly installments beginning on June 1, 2014.