UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Preferred Stock (Convertible) | Â (2) | Â (2) | Common Stock | 8,256,563 | $ (2) | I | Foundation Capital VI, L.P. (1) |
Series A Preferred Stock (Convertible) | Â (2) | Â (2) | Common Stock | 92,255 | $ (2) | I | Foundation Capital VI Principals Fund, LLC (1) |
Series B Preferred Stock (Convertible) | Â (3) | Â (3) | Common Stock | 2,756,383 | $ (3) | I | Foundation Capital VI, L.P. (1) |
Series B Preferred Stock (Convertible) | Â (3) | Â (3) | Common Stock | 30,798 | $ (3) | I | Foundation Capital VI Principals Fund, LLC (1) |
Series C Preferred Stock (Convertible) | Â (4) | Â (4) | Common Stock | 3,916,208 | $ (4) | I | Foundation Capital VI, L.P. (1) |
Series C Preferred Stock (Convertible) | Â (4) | Â (4) | Common Stock | 43,757 | $ (4) | I | Foundation Capital VI Principals Fund, LLC (1) |
Series D Preferred Stock (Convertible) | Â (5) | Â (5) | Common Stock | 357,150 | $ (5) | I | Foundation Capital VI, L.P. (1) |
Series D Preferred Stock (Convertible) | Â (5) | Â (5) | Common Stock | 3,991 | $ (5) | I | Foundation Capital VI Principals Fund, LLC (1) |
Series E Preferred Stock (Convertible) | Â (6) | Â (6) | Common Stock | 198,809 | $ (6) | I | Foundation Capital VI, L.P. (1) |
Series E Preferred Stock (Convertible) | Â (6) | Â (6) | Common Stock | 2,221 | $ (6) | I | Foundation Capital VI Principals Fund, LLC (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Foundation Capital Management Co. VI, LLC C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
 |  X |  | Mmbr 13D group owning > 10% |
FOUNDATION CAPITAL VI LP 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
 |  X |  | Mmbr 13D group owning > 10% |
Foundation Capital VI Principals Fund, LLC 250 MIDDLEFIELD ROAD MENLO PARK, CA 94025 |
 |  X |  | Mmbr 13D group owning > 10% |
Gail M. Haney, as Attorney-in-Fact | 08/04/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Foundation Capital Management Co. VI, LLC is the sole manager of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC and has sole voting and investment power with respect to the shares held by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B.Elmore, Paul G. Koontz, Michael N. Schuh, Paul R. Holland, Richard A. Redelfs, Steve P. Vassallo, Charles P. Moldow and Warren M. Weiss are managing members of Foundation Capital Management Co. VI, LLC, and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein. |
(2) | The Series A Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series A Preferred Stock will be converted into shares of Common Stock. |
(3) | The Series B Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series B Preferred Stock will be converted into shares of Common Stock. |
(4) | The Series C Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series C Preferred Stock will be converted into shares of Common Stock. |
(5) | The Series D Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series D Preferred Stock will be converted into shares of Common Stock. |
(6) | The Series E Preferred Stock is convertible into Common Stock on a 1:1 basis and has no expiration date. Immediately prior to the completion of the Issuer's initial public offering, all shares of Series E Preferred Stock will be converted into shares of Common Stock. |