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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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 B Preferred Stock | (1) | 05/01/2018 | C | 924 | (1) | (1) | Common Stock | 924 | $ 0 | 0 | I | See footnote (3) | |||
Series B-1 Preferred Stock | (1) | 05/01/2018 | C | 277 | (1) | (1) | Common Stock | 277 | $ 0 | 0 | I | See footnote (3) | |||
Series C Preferred Stock | (1) | 05/01/2018 | C | 4,707,896 | (1) | (1) | Common Stock | 4,707,896 | $ 0 | 0 | I | See footnote (3) | |||
Series D Preferred Stock | (1) | 05/01/2018 | C | 85,391 | (1) | (1) | Common Stock | 85,391 | $ 0 | 0 | I | See footnote (3) | |||
Series E Preferred Stock | (1) | 05/01/2018 | C | 17,170 | (1) | (1) | Common Stock | 17,170 | $ 0 | 0 | I | See footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
O'Driscoll Rory 950 TOWER LANE, SUITE 1150 FOSTER CITY, CA 94404 |
X |
/s/ Rory O'Driscoll | 05/02/2018 | |
**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) | Each share of Series B Preferred Stock, Series B-1 Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into one share of common stock upon the closing of the Issuer's initial public offering. The shares had no expiration date. |
(2) | The shares are held by Scale Venture Partners III, L.P. ("SVP III"). Scale Venture Management III, LLC ("SVM III") is the general partner of SVP III. Rory O'Driscoll, Stacy Bishop, Kate Mitchell and Andrew Vitus, are managing members of SVM III and share voting and dispositive power with respect to the shares held by SVP III. The reporting person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
(3) | The shares were held by SVP III. SVM III is the general partner of SVP III. Rory O'Driscoll, Stacy Bishop, Kate Mitchell and Andrew Vitus, are managing members of SVM III and share voting and dispositive power with respect to the shares held by SVP III. The reporting person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein. |