SEC Form 4 · accession 0001209191-18-013178
MULESOFT, INC · MULE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Horton
Officer — SVP People Ops, GC & Secretary
Period of report
Feb 22, 2018
Accepted (ET)
Feb 23, 2018 · 7:53 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 | Feb 22, 2018 | C | 25,000 | — | A | 69,093 | D | |
| Class A Common StockF3 | Feb 22, 2018 | S | 25,000 | $30.5633 | D | 44,093 | D | |
| Class A Common StockF1 | Feb 23, 2018 | C | 25,000 | — | A | 69,093 | D | |
| Class A Common StockF4 | Feb 23, 2018 | S | 25,000 | $30.8141 | D | 44,093 | 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)F5 | $0.68 | Feb 22, 2018 | M | 25,000 | D | — | Aug 29, 2023 | Class B Common Stock | 25,000 | 51,622 | D |
| Class B Common StockF1 | $0.68 | Feb 22, 2018 | M | 25,000 | A | — | — | Class A Common Stock | 25,000 | 288,737 | D |
| Class B Common StockF1 | — | Feb 22, 2018 | C | 25,000 | D | — | — | Class A Common Stock | 25,000 | 263,737 | D |
| Employee Stock Option (right to buy)F5 | $0.68 | Feb 23, 2018 | M | 25,000 | D | — | Aug 29, 2023 | Class B Common Stock | 25,000 | 26,622 | D |
| Class B Common StockF1 | $0.68 | Feb 23, 2018 | M | 25,000 | A | — | — | Class A Common Stock | 25,000 | 288,737 | D |
| Class B Common StockF4,F1 | — | Feb 23, 2018 | C | 25,000 | D | — | — | Class A Common Stock | 25,000 | 263,737 | 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 7, 2017.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.18 to $31.11, 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) and (4) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.37 to $31.02, inclusive.
- F5Shares subject to the option are fully vested and immediately exercisable.