SEC Form 4 · accession 0001209191-18-012739

MULESOFT, INC · MULE

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

Reporting owner

Mark Dao

Officer — Chief Product Officer

Period of report

Feb 20, 2018

Accepted (ET)

Feb 22, 2018 · 8:04 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	Feb 20, 2018	C	37,500	—	A	38,970	D
Class A Common Stock^F4	Feb 20, 2018	S	30,400	$30.0916	D	8,570	D
Class A Common Stock^F5	Feb 20, 2018	S	7,100	$31.5719	D	1,470	D
Class A Common Stock^F1	Feb 21, 2018	C	12,500	—	A	13,970	D
Class A Common Stock^F6	Feb 21, 2018	S	12,200	$30.1753	D	1,770	D
Class A Common Stock^F7	Feb 21, 2018	S	300	$31.0533	D	1,470	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F8	$7.06	Feb 20, 2018	M	37,500	D	—	May 4, 2026	Class B Common Stock	37,500	967,390	D
Class B Common Stock^F1	$7.06	Feb 20, 2018	M	37,500	A	—	—	Class A Common Stock	37,500	37,500	D
Class B Common Stock^F1	—	Feb 20, 2018	C	37,500	D	—	—	Class A Common Stock	37,500	0	D
Stock Option (right to buy)^F8	$7.06	Feb 21, 2018	M	12,500	D	—	May 4, 2026	Class B Common Stock	12,500	954,890	D
Class B Common Stock^F1	$7.06	Feb 21, 2018	M	12,500	A	—	—	Class A Common Stock	12,500	12,500	D
Class B Common Stock^F1	—	Feb 21, 2018	C	12,500	D	—	—	Class A Common Stock	12,500	0	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.
F2Includes 1,470 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 $29.95 to $30.87, 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 (3), (4), (5) and 6) 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 $31.00 to $31.99, inclusive.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.96 to $30.955, inclusive.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.13, inclusive.
F8One-fourth of the shares subject to the option vested on January 16, 2017, and 1/48 of the shares vest monthly thereafter.