SEC Form 4 · accession 0000899243-17-019562
Redfin Corp · RDFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Paul G Allen
10% Owner
Vulcan Capital Venture Capital I LLC
10% Owner
Vulcan Ventures Inc.
10% Owner
VCVC III LLC
10% Owner
VCVC Management III LLC
10% Owner
Cougar Investment Holdings LLC
10% Owner
Period of report
Aug 2, 2017
Accepted (ET)
Aug 2, 2017 · 5:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001382821
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 2, 2017 | C | 4,985,647 | — | A | 4,985,647 | I | By Vulcan Capital Venture Capital I LLC |
| Common StockF3,F2 | Aug 2, 2017 | C | 1,373,217 | — | A | 6,358,864 | I | By Vulcan Capital Venture Capital I LLC |
| Common StockF4,F2 | Aug 2, 2017 | C | 232,748 | — | A | 6,591,612 | I | By Vulcan Capital Venture Capital I LLC |
| Common StockF5,F6 | Aug 2, 2017 | C | 223,393 | — | A | 223,393 | I | By VCVC III LLC |
| Common StockF7,F6 | Aug 2, 2017 | C | 206,661 | — | A | 430,054 | I | By VCVC III LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF2,F1 | — | Aug 2, 2017 | C | 4,985,647 | D | — | — | Common Stock | 4,985,647 | 0 | I |
| Series C Preferred StockF2,F3 | — | Aug 2, 2017 | C | 1,373,217 | D | — | — | Common Stock | 1,373,217 | 0 | I |
| Series D Preferred StockF2,F4 | — | Aug 2, 2017 | C | 232,748 | D | — | — | Common Stock | 232,748 | 0 | I |
| Series E Preferred StockF6,F5 | — | Aug 2, 2017 | C | 223,393 | D | — | — | Common Stock | 223,393 | 0 | I |
| Series F Preferred StockF6,F7 | — | Aug 2, 2017 | C | 206,661 | D | — | — | Common Stock | 206,661 | 0 | I |
Explanation of responses
- F1Each share of the issuer's Series B Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-219093) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
- F2These securities are held of record by Vulcan Capital Venture Capital I LLC ("VCVC I"). Vulcan Capital Venture Capital Management I LLC ("VCVC Management I") manages VCVC I. VCVC Management I is managed by Vulcan Ventures Incorporated, which is wholly owned by Paul G. Allen, who has sole voting and investment power over the shares held by VCVC I. Mr. Allen disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- F3Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
- F4Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
- F5Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
- F6These securities are held of record by VCVC III LLC ("VCVC III"). VCVC Management III LLC ("VCVC Management III") manages VCVC III. VCVC Management III is managed by Cougar Investment Holdings LLC, which is wholly owned by Paul G. Allen, who has sole voting and investment power over the shares held by VCVC III. Mr. Allen disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- F7Each share of the issuer's Series F Preferred Stock automatically converted into 1 share of the issuer's Common Stock on August 2, 2017 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.