SEC Form 4 · accession 0001209191-16-127137
Gigamon Inc. · GIMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Corey Mulloy
Director
Period of report
Jun 9, 2016
Accepted (ET)
Jun 10, 2016 · 5:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001484504
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jun 9, 2016 | A | 5,894 | $0.00 | A | 12,430 | D | |
| Common StockF4 | holding | — | — | — | 61,481 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 14,897 | I | See Footnote | |
| Common StockF6 | holding | — | — | — | 21,696 | I | See Footnote | |
| Common StockF7 | holding | — | — | — | 1,926 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects automatic annual restricted stock unit ("RSU") awards pursuant to the Issuer's Outside Director Compensation Policy, effective June 11, 2013, as amended as of April 21, 2015.
- F2The reported securities awarded on June 9, 2016 (the "Award Date") represent RSUs which vest in twelve equal monthly installments following the Award Date and will vest fully on the earlier of June 9, 2017 or the date of the Issuer's next annual meeting of the stockholders, subject to the Reporting Person's continued service on the Issuer's board of directors through each vesting date.
- F3Includes pro rata in-kind distributions, without consideration, of the Issuer's common stock by Highland Entrepreneurs' Fund VII Limited Partnership, a venture capital partnership ("HEF VII") to its constituent partners. The Reporting Person received 146 shares on November 9, 2015 and 133 shares on May 10, 2016 as part of the distributions.
- F4On November 9, 2015 and May 10, 2016, Highland Capital Partners VII Limited Partnership, a venture capital partnership ("HCP VII"), made pro rata in-kind distributions, without consideration, for a total of 860,719 shares and 783,562 shares, respectively, of Common Stock of the Issuer to its limited partners, including Highland Management Partners VII Limited Partnership ("HMP VII LP"), the general partner of HCP VII, and to the limited partners of HMP VII LP. The remaining securities are held by HCP VII. The Reporting Person is an authorized manager of Highland Management Partners VII, LLC ("HMP VII LLC"), which is the general partner of HMP VII LP. Each of the Reporting Person, HMP VII LP and HMP VII LLC disclaims beneficial ownership of all shares held by HCP VII except to the extent, if any, of such entity's pecuniary interest therein.
- F5On November 9, 2015 and May 10, 2016, Highland Capital Partners VII-B Limited Partnership, a venture capital partnership ("HCP VII-B"), made pro rata in-kind distributions, without consideration, for a total of 208,569 shares and 189,872 shares, respectively, of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-B, and to the limited partners of HMP VII LP. The remaining securities are held by HCP VII-B. The Reporting Person is an authorized manager of HMP VII LLC, which is the general partner of HMP VII LP. Each of the Reporting Person, HMP VII LP and HMP VII LLC disclaims beneficial ownership of all shares held by HCP VII-B except to the extent, if any, of such entity's pecuniary interest therein.
- F6On November 9, 2015 and May 10, 2016, Highland Capital Partners VII-C Limited Partnership, a venture capital partnership ("HCP VII-C"), made pro rata in-kind distributions, without consideration, for a total of 303,742 shares and 276,514 shares, respectively, of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HCP VII-C, and to the limited partners of HMP VII LP. The remaining securities are held by HCP VII-C. The Reporting Person is an authorized manager of HMP VII LLC, which is the general partner of HMP VII LP. Each of the Reporting Person, HMP VII LP and HMP VII LLC disclaims beneficial ownership of all shares held by HCP VII-C except to the extent, if any, of such entity's pecuniary interest therein.
- F7On November 9, 2015 and May 10, 2016, HEF VII made pro rata in-kind distributions, without consideration, for a total of 26,970 shares and 24,552 shares, respectively, of Common Stock of the Issuer to its limited partners, including HMP VII LP, the general partner of HEF VII, and to the limited partners of HMP VII LP. The remaining securities are held by HEF VII. The Reporting Person is an authorized manager of HMP VII LLC, which is the general partner of HMP VII LP. Each of the Reporting Person, HMP VII LP and HMP VII LLC disclaims beneficial ownership of all shares held by HEF VII except to the extent, if any, of such entity's pecuniary interest therein.