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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Altai Capital Management, L.P. 152 WEST 57TH STREET, 10TH FLOOR NEW YORK, NY 10019 |
 |  X |  |  |
Altai Capital Management, LLC 152 WEST 57TH STREET, 10TH FLOOR NEW YORK, NY 10019 |
 |  X |  |  |
Bajaj Rishi 152 WEST 57TH STREET, 10TH FLOOR NEW YORK, NY 10019 |
 |  X |  |  |
Symonds Toby Edgcumbe 152 WEST 57TH STREET, 10TH FLOOR NEW YORK, NY 10019 |
 |  X |  |  |
Tesoriere Steven Vincent 152 WEST 57TH STREET, 10TH FLOOR NEW YORK, NY 10019 |
 |  X |  |  |
Altai Capital Management, L.P. by /s/ Toby E. Symonds, Authorized Signatory | 09/15/2014 | |
**Signature of Reporting Person | Date | |
Altai Capital Management, LLC by /s/ Toby E. Symonds, Authorized Signatory | 09/15/2014 | |
**Signature of Reporting Person | Date | |
/s/ Rishi Bajaj | 09/15/2014 | |
**Signature of Reporting Person | Date | |
/s/ Toby E. Symonds | 09/15/2014 | |
**Signature of Reporting Person | Date | |
/s/ Steven V. Tesoriere | 09/15/2014 | |
**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) | Altai Capital Management, L.P. ("Investment Manager") serves as investment manager of certain investment funds, including Altai Capital Master Fund, Ltd. ("ACMF"). The shares of ServiceSource common stock held by ACMF may be deemed to be beneficially owned by Investment Manager by virtue of its voting and dispositive power over those shares. See note 2 below. |
(2) | Altai Capital Management, LLC ("IMGP") serves as the general partner of Investment Manager. Each of Mr. Bajaj, Mr. Symonds and Mr. Tesoriere are managing principals of Investment Manager and members of IMGP. Each reporting person disclaims beneficial ownership of these securities except to the extent of his or its pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or any other purpose. |