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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WEI JAMES 2207 BRIDGEPOINTE PARKWAY SUITE 100 SAN MATEO, CA 94404 |
X | X | ||
WORLDVIEW TECHNOLOGY PARTNERS IV LP 2207 BRIDGEPOINTE PARKWAY, SUITE 100 SAN MATEO, CA 94404 |
X | |||
WORLDVIEW TECHNOLOGY INTERNATIONAL IV, L.P. 2207 BRIDGEPOINTE PARKWAY, SUITE 100 SAN MATEO, CA 94404 |
X | |||
WORLDVIEW STRATEGIC PARTNERS IV LP 2207 BRIDGEPOINTE PARKWAY, SUITE 100 SAN MATEO, CA 94404 |
X | |||
Orsak Michael 2207 BRIDGEPOINTE PARKWAY SUITE 100 SAN MATEO, CA 94404 |
X | |||
Tanaka Susumu 16F, SHINJUKU MITSUI #2 BUILDING 3-2-11 NISHI-SHINJUKU SHINJUKU-KU, TOKYO 160-0023, M0 |
X |
James Strawbridge, by power of attorney for James Wei | 11/19/2008 | |
**Signature of Reporting Person | Date | |
Worldview Technology Partners IV, L.P., by Worldview Capital IV, L.P., its general partner, by Worldview Equity I, L.L.C., its general partner, by James Strawbridge, by power of attorney for James Wei, a Managing Member | 11/19/2008 | |
**Signature of Reporting Person | Date | |
Worldview Technology International IV, L.P., by Worldview Capital IV, L.P., its general partner, by Worldview Equity I, L.L.C., its general partner, by James Strawbridge, by power of attorney for James Wei, a Managing Member | 11/19/2008 | |
**Signature of Reporting Person | Date | |
Worldview Strategic Partners IV, L.P., by Worldview Capital IV, L.P., its general partner, by Worldview Equity I, L.L.C., its general partner, by James Strawbridge, by power of attorney for James Wei, a Managing Member | 11/19/2008 | |
**Signature of Reporting Person | Date | |
James Strawbridge, by power of attorney for Michael Orsak | 11/19/2008 | |
**Signature of Reporting Person | Date | |
James Strawbridge, by power of attorney for Susumu Tanaka | 11/19/2008 | |
**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) | Shares are held directly by Worldview Technology Partners IV, L.P. ("WTP IV"). James Wei, a director of the issuer, Michael Orsak and Susumu Tanaka are managing members and have certain voting rights in Worldview Equity I, L.L.C. which is the General Partner of Worldview Capital IV, L.P., which is the General Partner of WTP IV. Each of Messrs. Wei, Orsak and Tanaka may be deemed to have shared voting and dispositive power over the shares which are owned directly by WTP IV, but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(2) | Shares are held directly by Worldview Technology International IV, L.P. ("WTI IV"). James Wei, a director of the issuer, Michael Orsak and Susumu Tanaka are managing members and have certain voting rights in Worldview Equity I, L.L.C. which is the General Partner of Worldview Capital IV, L.P., which is the General Partner of WTI IV. Each of Messrs. Wei, Orsak and Tanaka may be deemed to have shared voting and dispositive power over the shares which are owned directly by WTI IV, but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(3) | Shares are held directly by Worldview Strategic Partners IV, L.P. ("WSP IV"). James Wei, a director of the issuer, Michael Orsak and Susumu Tanaka are managing members and have certain voting rights in Worldview Equity I, L.L.C. which is the General Partner of Worldview Capital IV, L.P., which is the General Partner of WSP IV. Each of Messrs. Wei, Orsak and Tanaka may be deemed to have shared voting and dispositive power over the shares which are owned directly by WSP IV, but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(4) | Shares are held directly by Worldview Technology Partners II, L.P. ("WTP II"). James Wei, a director of the issuer, Michael Orsak and Susumu Tanaka are managing members and have certain voting rights in Worldview Equity I, L.L.C. which is the General Partner of Worldview Capital II, L.P., which is the General Partner of WTP II. Each of Messrs. Wei, Orsak and Tanaka may be deemed to have shared voting and dispositive power over the shares which are owned directly by WTP II, but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(5) | Shares are held directly by Worldview Technology International II, L.P. ("WTI II"). James Wei, a director of the issuer, Michael Orsak and Susumu Tanaka are managing members and have certain voting rights in Worldview Equity I, L.L.C. which is the General Partner of Worldview Capital II, L.P., which is the General Partner of WTI II. Each of Messrs. Wei, Orsak and Tanaka may be deemed to have shared voting and dispositive power over the shares which are owned directly by WTI II, but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(6) | Shares are held directly by Worldview Strategic Partners II, L.P. ("WSP II"). James Wei, a director of the issuer, Michael Orsak and Susumu Tanaka are managing members and have certain voting rights in Worldview Equity I, L.L.C. which is the General Partner of Worldview Capital II, L.P., which is the General Partner of WSP II. Each of Messrs. Wei, Orsak and Tanaka may be deemed to have shared voting and dispositive power over the shares which are owned directly by WSP II, but each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(7) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.50, inclusive. The reporting person undertakes to provide to 3PAR, Inc., any security holder of 3PAR, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (7), (8) and (9) to this Form 4. |
(8) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.50, inclusive. |
(9) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.50, inclusive. |