|
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 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock | (1) | 02/26/2014 | C(1) | 105,556 | (1) | (1) | Common Stock | 105,556 | $ 0 | 0 | I | By Satwik Mezzanine Fund I, LLC (3) | |||
Series A Convertible Preferred Stock | (1) | 02/26/2014 | C(1) | 11,111 | (1) | (1) | Common Stock | 11,111 | $ 0 | 0 | I | By Satwik Ventures I, LLC Defined Benefit Pension Plan (4) | |||
Series A Preferred Stock Warrant (right to buy) | $ 4.5 | 02/26/2014 | M(2) | 36,945 | 07/01/2013 | 07/31/2016 | Common Stock | 36,945 | $ 0 | 0 | I | By First Guardian Group I, LLC (5) | |||
Series A Preferred Stock Warrant (right to buy) | $ 4.5 | 02/26/2014 | M(2) | 3,889 | 07/01/2013 | 07/31/2016 | Common Stock | 3,889 | $ 0 | 0 | I | By Satwik Ventures I, LLC Defined Benefit Pension Plan (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Gupta Dinesh C. 777 NORTH 1ST STREET SUITE 720 SAN JOSE, CA 95112 |
X |
/s/ Douglas Murphy-Chutorian, attorney-in-fact | 02/27/2014 | |
**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) | These securities automatically converted into Issuer's common stock on a one-for-one basis upon consummation of Issuer's initial public offering ("IPO") and had no expiration date. |
(2) | These securities were cashlessly exercised immediately prior to Issuer's IPO and automatically converted into shares of Issuer's common stock on a one-for-one basis. |
(3) | Mr. Gupta is a general partner and an investor in Satwik Mezzanine Fund I, LLC. Mr. Gupta disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
(4) | These securities are held for the benefit of Mr. Gupta. |
(5) | Mr. Gupta is a general partner and an investor in First Guardian Group I, LLC. Mr. Gupta disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |