SEC Form 4 · accession 0001140361-15-039518

ADESTO TECHNOLOGIES Corp · IOTS

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

Reporting owners

10% Owner

Director · 10% Owner

Period of report

Oct 30, 2015

Accepted (ET)

Nov 3, 2015 · 7:47 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001395848

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 30, 2015	C	473,025	$0.00	A	673,025	I	See footnote
Common Stock^F3,F2	Oct 30, 2015	C	45,907	$0.00	A	718,932	I	See footnote
Common Stock^F4,F2	Oct 30, 2015	C	1,050,936	$0.00	A	1,769,868	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F2,F1	$0.00	Oct 30, 2015	C	198,412	D	—	—	Common Stock	198,412	I
Series B Preferred Stock^F2,F1	$0.00	Oct 30, 2015	C	180,375	D	—	—	Common Stock	180,375	I
Series C Preferred Stock^F2,F1	$0.00	Oct 30, 2015	C	64,308	D	—	—	Common Stock	64,308	I
Series D Preferred Stock^F2,F3	$0.00	Oct 30, 2015	C	44,438	D	—	—	Common Stock	45,907	I
Series D-1 Preferred Stock^F2,F1	$0.00	Oct 30, 2015	C	29,930	D	—	—	Common Stock	29,930	I
Series E Preferred Stock^F2,F4	$0.00	Oct 30, 2015	C	106,326	D	—	—	Common Stock	1,050,936	I

F1In connection with the consummation of the Issuer's initial public offering on October 30, 2015, each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D-1 Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
F2The securities are held directly by Harris & Harris Group, Inc. ("Harris & Harris"). Mr. Andreev is an executive vice president and managing director of Harris & Harris.
F3In connection with the consummation of the Issuer's initial public offering on October 30, 2015, each share of Series D Preferred Stock automatically converted into 1.0330576 shares of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
F4In connection with the consummation of the Issuer's initial public offering on October 30, 2015, each share of Series E Preferred Stock automatically converted into 9.8841 shares of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.