SEC Form 4 · accession 0001209191-17-064281
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Christopher J Schaepe
10% Owner
Barry Eggers
10% Owner
Peter Nieh
10% Owner
Lightspeed General Partner VII, L.P.
10% Owner
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 8:02 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,F2,F3 | Dec 4, 2017 | C | 1,700,000 | — | A | 1,700,000 | I | by Lightspeed Venture Partners VII, L.P. |
| Class A Common StockF4,F2,F3 | Dec 4, 2017 | J | 1,700,000 | — | D | 0 | I | By Lightspeed Venture Partners VII, L.P. |
| Class A Common StockF4,F2,F5 | Dec 4, 2017 | J | 395,670 | — | A | 395,670 | I | By Lightspeed General Partner VII, L.P. |
| Class A Common StockF6,F2,F5 | Dec 4, 2017 | J | 395,670 | — | D | 0 | I | By Lightspeed General Partner VII, L.P. |
| Class A Common StockF6,F7 | Dec 4, 2017 | J | 57,839 | — | A | 57,839 | I | By Barry Eggers Revocable Trust dtd 6/4/2008 |
| Class A Common StockF6 | Dec 4, 2017 | J | 57,839 | — | A | 115,678 | I | By Peter Y. Nieh |
| Class A Common StockF6,F8 | Dec 4, 2017 | J | 57,839 | — | A | 116,056 | I | By the Schaepe-Chiu Living Trust dated 11/5/97 |
| Class A Common StockF9 | holding | — | — | — | 945 | I | By Nieh Investments LP ? Fund 3 | |
| Class A Common StockF10 | holding | — | — | — | 567 | I | By Schaepe-Chiu Investments I LP ? Fund 2 |
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,F2,F3,F11 | — | Dec 4, 2017 | C | 1,700,000 | D | — | — | Class A Common Stock | 1,700,000 | 12,347,715 | I |
| Class B Common StockF13,F14,F11,F12 | — | holding | — | — | — | — | — | Class A Common Stock | 0 | 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 Schaepe-Chiu Investments I LP-Fund 2. Christopher J. Schaepe serves as co-trustee of the general partner of such entity.
- F11Shares of the Issuer's Class B Common Stock are convertible 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.
- F12Reflects holding of Class B Common Stock by Lightspeed Venture Partners Select, L.P. No transfer of Class B Common Stock by such entity is being reported on this Form 4.
- F13The shares are held of record by Lightspeed Select.
- F14Lightspeed 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.
- 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.
- F9The 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.
Remarks
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.