SEC Form 4 · accession 0000899243-18-008949

DROPBOX, INC. · DBX

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

Reporting owners

10% Owner

10% Owner

10% Owner

10% Owner

Period of report

Mar 27, 2018

Accepted (ET)

Mar 29, 2018 · 9:12 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001467623

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Preferred Stock^F2,F1	—	Mar 27, 2018	C	39,073,599	D	—	—	Class B Common Stock	39,073,599	0	I
Series A-1 Preferred Stock^F2,F1	—	Mar 27, 2018	C	36,787,659	D	—	—	Class B Common Stock	36,787,659	0	I
Series B Preferred Stock^F2,F1	—	Mar 27, 2018	C	317,886	D	—	—	Class B Common Stock	317,886	0	I
Class B Common Stock^F2,F3	—	Mar 27, 2018	C	76,179,144	A	—	—	Class A Common Stock	76,179,144	76,179,144	I
Series A Preferred Stock^F2,F1	—	Mar 27, 2018	C	4,176,079	D	—	—	Class B Common Stock	4,176,079	0	I
Series A-1 Preferred Stock^F2,F1	—	Mar 27, 2018	C	3,931,759	D	—	—	Class B Common Stock	3,931,759	0	I
Series B Preferred Stock^F2,F1	—	Mar 27, 2018	C	33,974	D	—	—	Class B Common Stock	33,974	0	I
Class B Common Stock^F2,F3	—	Mar 27, 2018	C	8,141,812	A	—	—	Class A Common Stock	8,141,812	8,141,812	I
Series A Preferred Stock^F2,F1	—	Mar 27, 2018	C	1,462,080	D	—	—	Class B Common Stock	1,462,080	0	I
Series A-1 Preferred Stock^F2,F1	—	Mar 27, 2018	C	1,376,520	D	—	—	Class B Common Stock	1,376,520	0	I
Series B Preferred Stock^F2,F1	—	Mar 27, 2018	C	11,894	D	—	—	Class B Common Stock	11,894	0	I
Class B Common Stock^F2,F3	—	Mar 27, 2018	C	2,850,494	A	—	—	Class A Common Stock	2,850,494	2,850,494	I

F1Each share of preferred stock automatically converted into one share of Class B common stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering, and has no expiration.
F2SC XII Management, LLC ("SC XII Management") is the general partner of Sequoia Capital XII, L.P. and Sequoia Technology Partners XII, L.P. and is the managing member of Sequoia Capital XII Principals Fund, LLC. As a result, SC XII Management may be deemed to share voting and dispositive power with respect to the shares held by Sequoia Capital XII, L.P., Sequoia Technology Partners XII, L.P. and Sequoia Capital XII Principals Fund, LLC. Each of the Reporting Persons disclaims beneficial ownership of these securities except to the extent of its 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.
F3The Issuer's Class B Common Stock is convertible into the Issuer's Class A Common Stock on a one-for-one basis at the Reporting Person's election and has no expiration date.