SEC Form 4 · accession 0001209191-16-127556
OPOWER, INC. · OPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Peter J Barris
10% Owner
M James Barrett
10% Owner
Patrick J Kerins
10% Owner
Scott D Sandell
10% Owner
Krishna Kittu Kolluri
10% Owner
Forest Baskett
10% Owner
NEA 12 GP, LLC
10% Owner
NEA Partners 12, Limited Partnership
10% Owner
Period of report
Jun 14, 2016
Accepted (ET)
Jun 14, 2016 · 12:59 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001412043
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 14, 2016 | U | 8,989,766 | $10.30 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Disposed of pursuant to the closing on June 14, 2016 of a cash tender offer by Olympus II Acquisition Corporation, a Delaware corporation ("Merger Subsidiary"), which is a subsidiary of OC Acquisition LLC, a Delaware limited liability company ("Parent"), which is a subsidiary of Oracle Corporation, a Delaware corporation ("Oracle").
- F2The shares are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forrest Baskett, Patrick J. Kerins, Krishna "Kitta" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.