SEC Form 4 · accession 0001209191-17-062959

MULESOFT, INC · MULE

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

Reporting owners

Lightspeed Venture Partners VII, L.P.

10% Owner

Lightspeed Ultimate General Partner Select, Ltd.

10% Owner

Period of report

Nov 27, 2017

Accepted (ET)

Nov 29, 2017 · 9:27 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 Stock^F1,F2,F3	Nov 27, 2017	C	1,700,000	—	A	1,700,000	I	by Lightspeed Venture Partners VII, L.P.
Class A Common Stock^F4,F2,F3	Nov 27, 2017	J	1,700,000	—	D	0	I	By Lightspeed Venture Partners VII, L.P.
Class A Common Stock^F4,F2,F5	Nov 27, 2017	J	395,670	—	A	395,670	I	By Lightspeed General Partner VII, L.P.
Class A Common Stock^F6,F2,F5	Nov 27, 2017	J	395,670	—	D	0	I	By Lightspeed General Partner VII, L.P.
Class A Common Stock^F6,F7	Nov 27, 2017	J	57,839	—	A	57,839	I	By Barry Eggers Revocable Trust dtd 6/4/2008
Class A Common Stock^F6	Nov 27, 2017	J	57,839	—	A	57,839	I	By Peter Y. Nieh
Class A Common Stock^F6,F8	Nov 27, 2017	J	57,839	—	A	57,839	I	By the Schaepe-Chiu Living Trust dated 11/5/97
Class A Common Stock^F1,F9,F10	Nov 27, 2017	C	400,000	—	A	400,000	I	By Lightspeed Venture Partners Select, L.P.
Class A Common Stock^F11,F9,F10	Nov 27, 2017	J	400,000	—	D	0	I	By Lightspeed Venture Partners Select, L.P.
Class A Common Stock^F11,F9,F12	Nov 27, 2017	J	6,033	—	A	6,033	I	By Lightspeed General Partner Select, L.P.
Class A Common Stock^F13,F9,F12	Nov 27, 2017	J	6,033	—	D	0	I	By Lightspeed General Partner Select, L.P.
Class A Common Stock^F13,F14	Nov 27, 2017	J	945	—	A	945	I	By Eggers Investments LP - Fund 2
Class A Common Stock^F13,F15	Nov 27, 2017	J	945	—	A	945	I	By Nieh Investments LP - Fund 3
Class A Common Stock^F13,F8	Nov 27, 2017	J	378	—	A	378	I	By The Schaepe-Chiu Living Trust dated 11/5/97
Class A Common Stock^F13,F16	Nov 27, 2017	J	567	—	A	567	I	By Schaepe-Chiu Investments I LP - Fund 2
Class A Common Stock^F13	Nov 27, 2017	J	945	—	A	945	I	By Jeremy Liew
Class A Common Stock^F13	Nov 27, 2017	J	945	—	A	945	I	By John Vrionis

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 Stock^F1,F2,F3	—	Nov 27, 2017	C	1,700,000	D	—	—	Class A Common Stock	1,700,000	14,047,715	I
Class B Common Stock^F1,F9,F10	—	Nov 27, 2017	C	400,000	D	—	—	Class A Common Stock	400,000	3,171,808	I

Explanation of responses

F1Represents conversion of shares of the Issuer's Class B Common Stock into shares of the Issuer's Class A Common Stock on a 1-for-1 basis. The convertibility of the Class B Common Stock has no expiration date.
F10The shares are held of record by Lightspeed Select.
F11Represents in-kind distribution by Lightspeed Select without consideration to its partners (including LGP Select, the general partner of Lightspeed Select).
F12The shares are held of record by LGP Select.
F13Represents in-kind distribution by LGP Select without consideration to its partners (including Messrs. Schaepe, Eggers, Liew, Mhatre, Nieh and Vrionis).
F14The shares are held of record by Eggers Investments LP-Fund 2. Barry Eggers serves as trustee of the general partner of such entity.
F15The shares are held of record by Nieh Family Investments LP-Fund 3. Peter Nieh serves as co-trustee of the general partner of such entity.
F16The shares are held of record by Schaepe-Chiu Investments I LP-Fund 2. Christopher J. Schaepe serves as co-trustee of the general partner of such entity.
F2Lightspeed Ultimate General Partner VII, Ltd. is the sole general partner of Lightspeed General Partner VII, L.P. ("LGP VII"), which is the sole general partner of Lightspeed Venture Partners VII, L.P. ("Lightspeed VII"). The individual directors of Lightspeed Ultimate General Partner VII, Ltd. are Christopher J. Schaepe, Barry Eggers, Ravi Mhatre and Peter Nieh. Messrs. Schaepe, Eggers, Mhatre, and Nieh disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.
F3The shares are held of record by Lightspeed VII.
F4Represents in-kind distribution by Lightspeed VII without consideration to its partners (including LGP VII, the general partner of Lightspeed VII).
F5The shares are held of record by LGP VII.
F6Represents in-kind distribution by LGP VII without consideration to its partners (including Messrs. Schaepe, Eggers, Mhatre, and Nieh).
F7The shares are held of record by Barry Eggers Revocable Trust dtd 6/4/2008, for which Barry Eggers serves as trustee.
F8The shares are held of record by The Schaepe-Chiu Living Trust Dated November 5, 1997, for which Christopher J. Schaepe serves as co-trustee.
F9Lightspeed Ultimate General Partner Select, Ltd. is the sole general partner of Lightspeed General Partner Select, L.P. ("LGP Select"), which is the sole general partner of Lightspeed Venture Partners Select, L.P. ("Lightspeed Select"). The individual directors of Lightspeed Ultimate General Partner Select, Ltd. are Barry Eggers, Jeremy Liew, Ravi Mhatre, Peter Nieh, Christopher J. Schaepe and John Vrionis. Messrs. Eggers, Liew, Mhatre, Nieh, Schaepe and Vrionis disclaim their beneficial ownership of the shares except to the extent of their pecuniary interest therein.

Remarks

Filing 2 of 2 Mr. Mhatre is a director of the Issuer and files a separate report on Form 4 with respect to his beneficial ownership of Issuer securities held by the Lightspeed entities.