SEC Form 4 · accession 0001209191-17-061016
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Parmett
Officer — President, Field Operations
Period of report
Nov 14, 2017
Accepted (ET)
Nov 15, 2017 · 9:30 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Nov 14, 2017 | C | 8,464 | — | A | 9,917 | D | |
| Class A Common StockF3 | Nov 14, 2017 | S | 8,464 | $23.0163 | D | 1,453 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $2.60 | Nov 14, 2017 | M | 8,464 | D | — | Feb 3, 2025 | Class B Common Stock | 8,464 | 240,000 | D |
| Class B Common StockF1 | $2.60 | Nov 14, 2017 | M | 8,464 | A | — | — | Class A Common Stock | 8,464 | 375,925 | D |
| Class B Common StockF1 | — | Nov 14, 2017 | C | 8,464 | D | — | — | Class A Common Stock | 8,464 | 367,461 | D |
Explanation of responses
- 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.
- F2The 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.89 to $23.09, 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.
- F4Shares subject to the option vest in forty-eight equal monthly installments beginning on June 1, 2014.