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 Convertible Preferred Stock | Â (4) | Â (4) | Common Stock | 3,673,730 | $ (4) | I | By Maveron Equity Partners III, L.P. (1) |
Series A Convertible Preferred Stock | Â (4) | Â (4) | Common Stock | 155,880 | $ (4) | I | By Maveron III Entrepreneurs? Fund L.P. (2) |
Series A Convertible Preferred Stock | Â (4) | Â (4) | Common Stock | 503,720 | $ (4) | I | By MEP Associates III, L.P. (3) |
Series B Convertible Preferred Stock | Â (5) | Â (5) | Common Stock | 1,210,920 | $ (5) | I | By Maveron Equity Partners III, L.P. (1) |
Series B Convertible Preferred Stock | Â (5) | Â (5) | Common Stock | 51,364 | $ (5) | I | By Maveron III Entrepreneurs? Fund L.P. (2) |
Series B Convertible Preferred Stock | Â (5) | Â (5) | Common Stock | 166,032 | $ (5) | I | By MEP Associates III, L.P. (3) |
Series C Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 545,165 | $ (6) | I | By Maveron Equity Partners III, L.P. (1) |
Series C Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 23,131 | $ (6) | I | By Maveron III Entrepreneurs? Fund L.P. (2) |
Series C Convertible Preferred Stock | Â (6) | Â (6) | Common Stock | 74,750 | $ (6) | I | By MEP Associates III, L.P. (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Maveron General Partner III LLC 411 FIRST AVE. S. SUITE 600 SEATTLE, WA 98104 |
 |  X |  |  |
Maveron Equity Partners III, L.P. 411 FIRST AVE. S. SUITE 600 SEATTLE, WA 98104 |
 |  X |  |  |
Maveron III Entrepreneurs Fund, L.P. 411 FIRST AVE. S. SUITE 600 SEATTLE, WA 98104 |
 |  X |  |  |
MEP Associates III, L.P. 411 FIRST AVE. S. SUITE 600 SEATTLE, WA 98104 |
 |  X |  |  |
By Pete McCormick, a managing member of Maveron General Partner III LLC | 07/17/2014 | |
**Signature of Reporting Person | Date | |
Pete McCormick, a managing member of Maveron General Partner III LLC, the general partner of Maveron Equity Partners III, L.P. | 07/17/2014 | |
**Signature of Reporting Person | Date | |
Pete McCormick, a managing member of Maveron General Partner III LLC, the general partner of Maveron III Entrepreneurs' Fund, L.P. | 07/17/2014 | |
**Signature of Reporting Person | Date | |
Pete McCormick, a managing member of Maveron General Partner III LLC, the general partner of MEP Associates III, L.P. | 07/17/2014 | |
**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) | Maveron General Partner III LLC ("Maveron LLC"), which is the general partner of Maveron Equity Partners III, L.P. ("Maveron Equity"), has sole voting and investment power over the securities held by Maveron Equity. Maveron LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein. In addition, Dan Levitan, who is a Director of the issuer, and certain other individuals are managing members of Maveron LLC and may be deemed to share voting and investment power over the shares held of record by Maveron Equity. Each of such individuals disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
(2) | Maveron LLC, which is the general partner of Maveron III Entrepreneurs' Fund L.P. ("Maveron Entrepreneurs"), has sole voting and investment power over the securities held by Maveron Entrepreneurs. Maveron LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein. In addition, Dan Levitan, who is a Director of the issuer, and certain other individuals are managing members of Maveron LLC and may be deemed to share voting and investment power over the shares held of record by Maveron Entrepreneurs. Each of such individuals disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
(3) | Maveron LLC, which is the general partner of MEP Associates III, L.P. ("MEP"), has sole voting and investment power over the securities held by MEP. Maveron LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein. In addition, Dan Levitan, who is a Director of the issuer, and certain other individuals are managing members of Maveron LLC and may be deemed to share voting and investment power over the shares held of record by MEP. Each of such individuals disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
(4) | Each share of the issuer's Series A Convertible Preferred Stock will be converted into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering ("IPO") and has no expiration date. |
(5) | Each share of the issuer's Series B Convertible Preferred Stock will be converted into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. |
(6) | Each share of the issuer's Series C Convertible Preferred Stock will be converted into 1 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. |