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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series H Preferred Stock | (1) | 08/07/2013 | C | 1,510,981 (1) | (1) | (4) | Common Stock | 1,510,981 (1) | $ 0 | 0 | D | ||||
Common Stock Warrant (right to buy) | $ 9.9273 (2) | 08/07/2013 | X | 402,928 (2) | 01/21/2011 | (5) | Common Stock | 402,928 (2) | $ 0 | 0 | D | ||||
Common Stock Warrant (right to buy) | $ 9.9273 (3) | 08/07/2013 | X | 67,154 (3) | 02/15/2011 | (6) | Common Stock | 67,154 (3) | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CISCO SYSTEMS, INC. 170 WEST TASMAN DR SAN JOSE, CA 95134-1706 |
X |
Cisco Systems, Inc. By: /s/ Evan Sloves, Assistant Secretary | 08/09/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On August 7, 2013, effective immediately prior to the closing of the Issuer's initial public offering, each share of Series H Preferred Stock automatically converted into one share of Issuer's Common Stock for no additional consideration. The Series H Preferred Stock had no expiration date. |
(2) | On August 7, 2013, Reporting Person exercised a warrant to purchase 402,928 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 250,000 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 152,928 shares. |
(3) | On August 7, 2013, Reporting Person exercised a warrant to purchase 67,154 shares of Issuer's Common Stock for $9.9273 per share. Reporting Person paid the exercise price on a cashless basis, based on Issuer's initial offering price of $16.00 per share, resulting in the Issuer's withholding of 41,667 of the warrant shares to pay the exercise price and issuing to Reporting Person the remaining 25,487 shares. |
(4) | None. |
(5) | This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) January 21, 2014. |
(6) | This warrant expires upon the earlier of (i) an initial public offering of the Issuer's securities, or (ii) February 15, 2014. |