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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 | ||||||||
Class B Common Stock | (1) | 12/31/2014 | C | 1,103,321 | (1) | (1) | Class A Common Stock | 1,103,321 | (1) | 0 | D (2) (3) | ||||
Class B Common Stock | (1) | 12/31/2014 | C | 1,103,321 | (1) | (1) | Class A Common Stock | 1,103,321 | (1) | 0 | D (4) (5) | ||||
Class B Common Stock | (1) | 12/31/2014 | C | 2,206,640 | (1) | (1) | Class A Common Stock | 2,206,640 | (1) | 0 | D (6) (7) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARBOURVEST PARTNERS 2007 DIRECT ASSOCIATES L.P. C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HARBOURVEST PARTNERS 2007 DIRECT ASSOCIATES LLC C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HARBOURVEST PARTNERS 2007 DIRECT FUND L.P. C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HARBOURVEST PARTNERS LLC C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HARBOURVEST PARTNERS VIII-VENTURE ASSOCIATES L.P. C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HARBOURVEST PARTNERS VIII-VENTURE ASSOCIATES LLC C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HarbourVest Partners VIII-Venture Fund L.P. C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HarbourVest Partners/NYSTRS Co-Investment Fund L.P. C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HIPEP VI Select Associates L.P. C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X | |||
HIPEP VI Select Associates LLC C/O HARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111 |
X |
HarbourVest 2007 Direct Associates L.P., By: HarbourVest 2007 Direct Associates LLC, its GP; By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest 2007 Direct Associates LLC, By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest Partners 2007 Direct Fund L.P., By: HarbourVest 2007 Direct Associates L.P., its GP; By: HarbourVest 2007 Direct Associates LLC, its GP; By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest Partners, LLC, By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest VIII-Venture Associates L.P., By: HarbourVest VIII-Venture Associates LLC, its GP; By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest VIII-Venture Associates LLC, By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest Partners VIII-Venture Fund, L.P., By: HarbourVest VIII-Venture Associates L.P., its GP; By: HarbourVest VIII-Venture Associates LLC, its GP; By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HarbourVest/NYSTRS Co-invest Fund L.P.: By: HIPEP VI Select Associates L.P., its GP; By: HIPEP VI Select Associates LLC, its GP; By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HIPEP VI Select Associates L.P., By: HIPEP VI Select Associates LLC, its GP; By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**Signature of Reporting Person | Date | |
HIPEP VI Select Associates LLC, By: HarbourVest Partners, LLC, its Managing Member; By: /s/ Greg Pusch, Chief Compliance Officer | 01/05/2015 | |
**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 Class B Common Stock, which has no expiration date, is convertible at any time at the option of the holder into one share of Class A Common Stock. In addition, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock (a) upon transfer thereof, subject to certain exceptions, (b) upon the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate number of shares of the then outstanding Class A Common Stock and Class B Common Stock, or (c) in the event that holders of at least 66 2/3% of the then outstanding shares of Class B Common Stock elect to convert all shares of Class B Common Stock into shares of Class A Common Stock. |
(2) | These securities are owned solely by HarbourVest Partners VIII-Venture Fund, L.P. ("HV Ventures"). HarbourVest Partners, LLC is the managing member of HarbourVest VIII-Venture Associates LLC, which is the general partner of HarbourVest VIII-Venture Associates L.P., which is the general partner of HV Ventures. Each of HarbourVest Partners, LLC, HarbourVest VIII-Venture Associates LLC and HarbourVest VIII-Venture Associates L.P. may be deemed to have a beneficial interest in the securities held by HV Ventures and each disclaims beneficial ownership of the securities held by HV Ventures, except to the extent of its pecuniary interest which is subject to indeterminable future events. |
(3) | Each of HV Co-Invest (as defined below), HIPEP VI Select Associates LLC, HIPEP VI Select Associates L.P., HV Direct (as defined below), HarbourVest 2007 Direct Associates LLC and HarbourVest 2007 Direct Associates L.P. disclaims beneficial ownership of the securities held by HV Ventures and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. |
(4) | These securities are owned solely by HarbourVest/NYSTRS Co-invest Fund L.P. ("HV Co-Invest"). HarbourVest Partners, LLC is the managing member of HIPEP VI Select Associates LLC, which is the general partner of HIPEP VI Select Associates L.P., which is the general partner of HV Co-Invest. Each of HarbourVest Partners, LLC, HIPEP VI Select Associates LLC and HIPEP VI Select Associates L.P. may be deemed to have a beneficial interest in the securities held by HV Co-Invest and each disclaims beneficial ownership of the securities held by HV Co-Invest, except to the extent of its pecuniary interest which is subject to indeterminable future events. |
(5) | Each of HV Ventures, HarbourVest VIII-Venture Associates LLC, HarbourVest VIII-Venture Associates L.P., HV Direct, HarbourVest 2007 Direct Associates LLC and HarbourVest 2007 Direct Associates L.P. disclaims beneficial ownership of the securities held by HV Co-Invest and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. |
(6) | These securities are owned solely by HarbourVest Partners 2007 Direct Fund L.P. ("HV Direct"). HarbourVest Partners, LLC is the managing member of HarbourVest 2007 Direct Associates LLC, which is the general partner of HarbourVest 2007 Direct Associates L.P., which is the general partner of HV Direct. Each of HarbourVest Partners, LLC, HarbourVest 2007 Direct Associates LLC and HarbourVest 2007 Direct Associates L.P. may be deemed to have a beneficial interest in the securities held by HV Direct and each disclaims beneficial ownership of the securities held by HV Direct, except to the extent of its pecuniary interest which is subject to indeterminable future events. |
(7) | Each of HV Co-Invest, HIPEP VI Select Associates LLC, HIPEP VI Select Associates L.P., HV Ventures, HarbourVest VIII-Venture Associates LLC and HarbourVest VIII-Venture Associates L.P. disclaims beneficial ownership of the securities held by HV Direct and this report shall not be deemed an admission that any such reporting person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. |