SEC Form 4 · accession 0000899243-18-026517
Elastic N.V. · ESTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michelangelo Volpi
Director
Period of report
Oct 10, 2018
Accepted (ET)
Oct 10, 2018 · 6:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001707753
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2,F3,F4,F5,F6 | Oct 10, 2018 | C | 6,571,709 | — | A | 6,571,709 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preference SharesF4,F5,F6,F1 | — | Oct 10, 2018 | C | 5,202,162 | D | — | — | Ordinary Shares | 5,202,162 | 0 | I |
| Series C Convertible Preference SharesF4,F5,F6,F2 | — | Oct 10, 2018 | C | 1,247,298 | D | — | — | Ordinary Shares | 1,247,298 | 0 | I |
| Series D Convertible Preference SharesF4,F5,F6,F3 | — | Oct 10, 2018 | C | 122,249 | D | — | — | Ordinary Shares | 122,249 | 0 | I |
Explanation of responses
- F1The Series B Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date.
- F2The Series C Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date.
- F3The Series D Convertible Preference Shares automatically converted into Ordinary Shares on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering and had no expiration date.
- F4The ordinary shares and convertible preference shares reported herein are held directly by Hexavest S.a.r.l. ("Hexavest").
- F5The shareholders of Hexavest include: Index Ventures IV (Jersey) LP ("Index Ventures IV"), Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP ("Index Ventures IV Parallel"), Index Ventures VI (Jersey) LP ("Index Ventures VI"), Index Ventures VI Parallel Entrepreneur Fund (Jersey) LP ("Index Ventures VI Parallel" and, together with Index Ventures IV, Index Ventures IV Parallel and Index Ventures VI, the "Index Funds") and Yucca (Jersey) SLP ("Yucca"). Index Ventures Associates IV Limited ("Index Ventures IV GP") is the managing general partner of Index Ventures IV and Index Ventures IV Parallel, and Index Ventures Associates VI Limited ("Index Ventures VI GP") is the managing general partner of Index Ventures VI and Index Ventures VI Parallel. The general partner of Yucca is Yucca Associates Limited ("Yucca Associates"). Yucca is an Index co-investment vehicle that is contractually required to mirror the Index Funds' investment in the convertible preference shares.
- F6Mr. Volpi is co-president of Index Ventures (US) Inc. which provides certain consultancy services to the Index Funds' affiliates. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.