If the filing
person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of
240.13d-1(e),
240.13d-1(f)
or
240.13d-1(g),
check the following box. ☐
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 603380106
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SC 13D/A
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Page
2
of 17
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1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURE
ASSOCIATES III LIMITED
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding
I
s Required Pursuant to Items 2(d) or 2(e)
☐
|
6
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|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
0
|
|
8
|
|
Shared Voting Power
2,297,995 (a)(b)
|
|
9
|
|
Sole Dispositive Power
0
|
|
10
|
|
Shared Dispositive Power
2,297,995
(a)(b)
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|
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|
11
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|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,297,995 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
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13
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|
Percent of Class
Represented by Amount in Row (11)
5.9% (c)
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14
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Type of Reporting Person
(See Instructions)
CO
|
(a)
|
Index Venture Associates III Limited (
Index Venture III
) is the general partner of
Index Ventures III (Delaware) L.P. (
IVIII Delaware
), Index Ventures III (Jersey) L.P. (
IVIII Jersey
), Index Ventures III Parallel Entrepreneur Fund (Jersey) L.P. (
IVPEF
III
, and collectively with IVIII Delaware and IVIII Jersey, the
Index III Funds
). Yucca (Jersey) SLP (
Yucca
) is a
co-investment
vehicle that is
contractually required to mirror the Index III Funds investment and is an affiliate of Index Venture III. As a result, Index Venture III may be deemed to share voting and dispositive power over the shares of common stock of the Issuer
(
Common Stock
) held by the Index III Funds and certain shares held by Yucca.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the Securities and Exchange Commission (the
SEC
) on
May 6, 2019.
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CUSIP No. 603380106
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SC 13D/A
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Page
3
of 17
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1
|
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Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES III
(JERSEY) L.P.
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding
I
s Required Pursuant to Items 2(d) or 2(e)
☐
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6
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|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
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|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
737,827 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
737,827 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
737,827 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
1.9% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVIII Jersey has sole voting and dispositive control over these shares of Common Stock, except that Index
Venture III, the general partner of IVIII Jersey, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
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CUSIP No. 603380106
|
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SC 13D/A
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Page
4
of 17
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1
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Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES III
(DELAWARE) L.P.
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding
I
s Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
1,498,821 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
1,498,821 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
1,498,821 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
3.8% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVIII Delaware has sole voting and dispositive control over these shares of Common Stock, except that Index
Venture III, the general partner of IVIII Delaware, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
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CUSIP No. 603380106
|
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SC 13D/A
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Page
5
of 17
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1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES III
PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding
I
s Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
26,700 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
26,700 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
26,700 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
Less than 0.1% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVPEF III has sole voting and dispositive control over these shares of Common Stock, except that Index Venture
III, the general partner of IVPEF III, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
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CUSIP No. 603380106
|
|
SC 13D/A
|
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Page
6
of 17
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1
|
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Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURE
ASSOCIATES IV LIMITED
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(
A
) ☐ (
B
) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding
I
s Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
0
|
|
8
|
|
Shared Voting Power
1,131,258 (a)(b)
|
|
9
|
|
Sole Dispositive Power
0
|
|
10
|
|
Shared Dispositive Power
1,131,258
(a)(b)
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
1,131,258 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
2.9% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
CO
|
(a)
|
Index Venture Associates IV Limited (
Index Venture IV
) is the general partner of
Index Ventures IV (Jersey) L.P. (
IVIV Jersey
) and Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P. (
IVPEF IV
, and together with IVIV Jersey, the
Index IV Funds
).
Yucca (Jersey) SLP (
Yucca
) is a
co-investment
vehicle that is contractually required to mirror the Index IV Funds investment and is an affiliate of Index Associates IV. As a
result, Index Venture IV may be deemed to share voting and dispositive power over the shares of common stock of the Issuer (
Common Stock
) held by the Index IV Funds and certain shares held by Yucca.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
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|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
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Page
7
of 17
|
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1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES IV
(JERSEY) L.P.
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
1,024,923 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
1,024,923 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
1,024,923 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
2.6% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVIV Jersey has sole voting and dispositive control over these shares of Common Stock, except that Index
Venture IV, the general partner of IVIV Jersey, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
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|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
8
of 17
|
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|
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|
|
1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES IV
PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
2
|
|
Check The Appropriate Box
If A Member Of A Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
97,285 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
97,285 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
97,285 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
0.2% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVPEF IV has sole voting and dispositive control over these shares of Common Stock, except that Index Venture
IV, the general partner of IVPEF IV, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
9
of 17
|
|
|
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|
|
|
|
1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURE
ASSOCIATES V LIMITED
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
0
|
|
8
|
|
Shared Voting Power
827,429 (a)(b)
|
|
9
|
|
Sole Dispositive Power
0
|
|
10
|
|
Shared Dispositive Power
827,429
(a)(b)
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
827,429 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
2.1% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
CO
|
(a)
|
Index Venture Associates V Limited (
Index Venture V
) is the general partner of Index
Ventures V (Jersey) L.P. (
IVV Jersey
) and Index Ventures V Parallel Entrepreneur Fund (Jersey) L.P. (
IVPEF V
, and together with IVV Jersey, the
Index V Funds
). Yucca
(Jersey) SLP (
Yucca
) is a
co-investment
vehicle that is contractually required to mirror the Index V Funds investment and is an affiliate of Index Associates V. As a result,
Index Venture V may be deemed to share voting and dispositive power over the shares of common stock of the Issuer (
Common Stock
) held by the Index V Funds and certain shares held by Yucca.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
10
of 17
|
|
|
|
|
|
|
|
1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES V
(JERSEY) L.P.
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
810,520 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
810,520 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
810,520 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
2.1% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVV Jersey has sole voting and dispositive control over these shares of Common Stock, except that Index Venture
V, the general partner of IVV Jersey, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
11
of 17
|
|
|
|
|
|
|
|
1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
INDEX VENTURES V
PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
6,567 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
6,567 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
6,567 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
Less than 0.1% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
IVPEF V has sole voting and dispositive control over these shares of Common Stock, except that Index Venture V,
the general partner of IVPEF V, may be deemed to share the right to direct the voting and dispositive control over such stock.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
12
of 17
|
|
|
|
|
|
|
|
1
|
|
Names of Reporting Persons
I.R.S.
Identification Nos. of above persons (entities only)
YUCCA (JERSEY)
SLP
|
2
|
|
Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☒
|
3
|
|
SEC Use Only
|
4
|
|
Source of Funds (See
Instructions)
OO
|
5
|
|
Check if Disclosure of
Legal Proceeding Is Required Pursuant to Items 2(d) or 2(e)
☐
|
6
|
|
Citizenship or Place of
Organization
Jersey, Channel
Islands
|
|
|
|
|
|
|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person
With
|
|
7
|
|
Sole Voting Power
54,039 (a)(b)
|
|
8
|
|
Shared Voting Power
0
|
|
9
|
|
Sole Dispositive Power
54,039 (a)(b)
|
|
10
|
|
Shared Dispositive Power
0
|
|
|
|
|
|
|
|
11
|
|
Aggregate Amount Beneficially Owned by Each Reporting Person
54,039 (a)(b)
|
12
|
|
Check if the Aggregate
Amount in Row (11) Excludes Certain Shares (See Instructions)
☐
|
13
|
|
Percent of Class
Represented by Amount in Row (11)
0.1% (c)
|
14
|
|
Type of Reporting Person
(See Instructions)
PN
|
(a)
|
Yucca is a
co-investment
vehicle that is contractually required to
mirror the investments of the Index III Funds, Index IV Funds and Index V Funds. Yucca has sole voting and dispositive control over these shares of Common Stock, except that Index Venture III, Index Venture IV and Index Venture V, affiliates of
Yucca, may be deemed to share the right to direct the voting and dispositive control over the shares held by Yucca which track the investments of the Index III Funds, Index IV Funds and Index V Funds, respectively.
|
(b)
|
See Items 2, 4 and 5.
|
(c)
|
The percent of class was calculated based on 39,025,471 shares of Common Stock outstanding as of May 1,
2019, as reported by the Issuer in its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the SEC on May 6, 2019.
|
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
13
of 17
|
ITEM 1.
|
SECURITY AND ISSUER
|
This Amendment No. 4 (this
Amendment No.
4
) amends and supplements the statement on Schedule
13D (as amended, the
Schedule 13D
) originally filed with the Securities and Exchange Commission (
SEC
) on July 18, 2014, as amended March 23, 2015 (
Amendment
No.
1
), as amended on September 27, 2016 (
Amendment No.
2
), and as further amended on October 5, 2018 (
Amendment
No.
3
) and relates to the common stock, par value $0.0001 per share (the
Common Stock
), of Minerva Neurosciences, Inc. (the
Issuer
). The principal
executive office of the Issuer is located at 1601 Trapelo Road, Suite 284, Waltham, MA 02451. This Amendment No. 4 amends and supplements Items 2, 4, and 5 of the Schedule 13D as set forth below. Capitalized terms used herein and
not otherwise defined in this Amendment No. 4 have the meanings set forth in the Schedule 13D.
1. Item 2 of the Schedule 13D is hereby amended and
restated as follows to update certain of the addresses set forth in Item 2(b) and to update
Schedule A
to reflect a change of address for the directors of Index Venture Associates III Limited.
Schedule A
attached hereto
is amended and restated in its entirety.
ITEM 2.
|
IDENTITY AND BACKGROUND
|
(a) This Statement is being filed by: (i) Index Venture Associates III Limited, a Jersey (Channel Islands) corporation (
Index Venture
III
); (ii) Index Ventures III (Delaware) L.P., a Delaware partnership (
IVIII Delaware
); (iii) Index Ventures III (Jersey) L.P., a Jersey (Channel Islands) partnership (
IVIII Jersey
);
(iv) Index Ventures III Parallel Entrepreneur Fund (Jersey) L.P., a Jersey (Channel Islands) partnership (
IVPEF III
); (v) Index Venture Associates IV Limited, a Jersey (Channel Islands) corporation (
Index
Venture IV
); (vi) Index Ventures IV (Jersey) LP, a Jersey, (Channel Islands) partnership (
IVIV Jersey
); (vii) Index Ventures IV Parallel Entrepreneur Fund (Jersey) LP, a Jersey (Channel Islands) partnership
(
IVPEF IV
); (viii) Index Venture Associates V Limited, a Jersey (Channel Islands) corporation (
Index Venture V
); (ix) Index Ventures V (Jersey) LP, a Jersey (Channel Islands) partnership
(
IVV Jersey
); (x) Index Ventures V Parallel Entrepreneur Fund (Jersey) LP, a Jersey (Channel Islands) partnership (
IVPEF V
); and (xi) Yucca (Jersey) SLP, a Jersey (Channel Islands) partnership
(
Yucca
, and together with IVIII Delaware, IVIII Jersey, IVPEF III, IVIV Jersey, IVPEF IV, IVV Jersey and IVPEF V, the
Index Funds
).
Each of the foregoing persons or entities is referred to herein as a Reporting Person or collectively as Reporting Persons.
Each Reporting Person disclaims beneficial ownership of all shares of Common Stock, other than those reported herein as being owned by such Reporting Person.
(b) The principal executive offices of Index Venture III, IVIII Delaware, IVIII Jersey and IVPEF III are located at 44 Esplanade, 5
th
Floor, St. Helier, Jersey JE1 3FG, Channel Islands. The principal executive offices of Index Venture IV, IVIV Jersey, IVPEF IV, Index Venture V, IVV Jersey, IVPEF V and Yucca are located at 44
Esplanade, St. Helier, Jersey JE4 9WG, Channel Islands.
(c) Index Venture III, Index Venture IV and Index Venture V are corporations organized in Jersey,
Channel Islands, and the persons serving as directors and executive officers are set forth on
Schedule A
hereto. Index Venture IIIs principal business is acting as the general partner of IVIII Delaware, IVIII Jersey and IVPEF
III. Index Venture IVs principal business is acting as the general partner of IVIV Jersey and IVPEF IV. Index Venture Vs principal business is acting as the general partner of IVV Jersey and IVPEF V. The principal business of each of the
Index Funds is to make investments in the securities of privately held and other businesses.
(d) During the last five years, none of the Reporting Persons
has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanours).
(e) During the last five years, none of the Reporting
Persons was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
|
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|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
14
of 17
|
2. Item 4 of the Schedule 13D is hereby amended and restated as follows:
ITEM 4.
|
PURPOSE OF TRANSACTION
|
The transactions giving rise to the filing of Amendment No. 4 were the sales, in each case, by way of open market transactions on June 12, 2019, at
prevailing market prices, as set forth on
Annex I
attached to this Schedule 13D.
On December 12, 2016 the Index Funds exercised
202,634 share warrants for 202,634 shares of Common Stock as follows: (i) 35,376 shares of Common Stock were acquired by IVIII Jersey; (ii) 71,862 shares of Common Stock were acquired by IVIII Delaware; (iii) 1,280 shares of Common Stock were
acquired by IVPEF III; (iv) 48,790 shares of Common Stock were acquired by IVIV Jersey; (v) 4,631 shares of Common Stock were acquired by IVPEF IV; (vi) 38,584 shares of Common Stock were acquired by IVV Jersey; (vii) 313 shares of Common Stock were
acquired by IVPEF V; and (viii) 1,798 shares of Common Stock were acquired by Yucca.
The Reporting Persons acquired the securities described in the
Schedule 13D for investment purposes. Depending on market conditions, its continuing evaluation of the business and prospects of the Issuer and other factors, the Reporting Persons may dispose of or acquire additional shares of the Issuer.
The Reporting Persons expect to consider and evaluate on an ongoing basis all their options with respect to their investment in the Issuer. The Reporting
Persons expect to engage in discussions with representatives of the Issuer and others, including dealers, concerning the Reporting Persons investment in the Issuer and the Issuers business, strategy and dealer network. The Reporting
Persons may suggest or take a position with respect to potential changes in the operations or strategy of the Issuer, such as disposing of one or more businesses or assets, or changing marketing, sales or distribution strategies.
The Reporting Persons may at any time or from time to time formulate plans or proposals regarding the Issuer or its securities to the extent deemed advisable
by the Reporting Persons in light of their general investment policies, market conditions, subsequent developments affecting the Issuer, the general business and future prospects of the Issuer, or other factors. The Reporting Persons may change any
of their plans or proposals at any time or from time to time, and may take any actions they deem appropriate with respect to their investment. Subject to market conditions, the Reporting Persons general investment policies and other factors,
the Reporting Persons may continue to hold some or all of their ownership in the Issuer or may at any time or from time to time decrease their ownership interest in the Issuer (including by way of open market or privately negotiated transactions or
a distribution of some or all the Issuers securities held by the Funds to their partners). There can be no assurance as to when, over what period of time, or to what extent they may decide to decrease their ownership interest in the Issuer.
As of the date of this statement, none of the Reporting Persons has any plans that would result in: (a) the acquisition by any person of additional
securities of the Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or
any of its subsidiaries; (d) any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (e) any
material change in the present capitalization or dividend policy of the Issuer; (f) any other material change in the Issuers business or corporate structure including but not limited to, if the Issuer is a registered
closed-end
investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940; (g) changes in the
Issuers charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) a class of securities of the Issuer to be delisted from a national securities
exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) a class of equity securities of the Issuer becoming eligible for termination of registration pursuant to
Section 12(g)(4) of the Act; or (j) any action similar to any of those enumerated above.
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
15
of 17
|
3. Item 5 of the Schedule 13D is hereby amended and restated as follows:
ITEM 5.
|
INTEREST IN SECURITIES OF THE ISSUER
|
(a) & (b)
The information contained on the cover pages to
the Schedule 13D and the information set forth in or incorporated by reference into Items 2, 3, 4 and 6 hereof are incorporated herein by reference.
As
more fully described therein, (i) IVIII Jersey is the beneficial owner of 737,827 shares of Common Stock, representing approximately 1.9% beneficial ownership of the Common Stock outstanding, (ii) IVIII Delaware is the beneficial owner of
1,498,821 shares of Common Stock, representing approximately 3.8% beneficial ownership of the Common Stock outstanding, (iii) IVPEF III is the beneficial owner of 26,700 shares of Common Stock, representing approximately less than 0.1%
beneficial ownership of the Common Stock outstanding, (iv) IVIV Jersey is the beneficial owner of 1,024,923 shares of Common Stock, representing approximately 2.6% beneficial ownership of the Common Stock outstanding, (v) IVPEF IV is the
beneficial owner of 97,285 shares of Common Stock, representing approximately 0.2% beneficial ownership of the Common Stock outstanding, (vi) IVV Jersey is the beneficial owner of 810,520 shares of Common Stock, representing approximately 2.1%
beneficial ownership of the Common Stock outstanding, (vii) IVPEF V is the beneficial owner of 6,567 shares of Common Stock, representing less than 0.1% of the Common Stock outstanding and (viii) Yucca is the beneficial owner of 54,039
shares of the Issuers Common Stock, representing approximately 0.1% of the Common Stock outstanding. Each Reporting Person named above in this paragraph has sole voting and dispositive control over such shares of Common Stock, except that
Index Venture III, Index Venture IV and/or Index Venture V, as applicable and as set forth on the cover pages to the Schedule 13D, may be deemed to share the right to direct the voting and dispositive control over certain of such shares.
By virtue of its status as general partner of IVIII Jersey, IVIII Delaware and IVPEF III and its affiliation with Yucca, Index Venture III may be deemed to
share voting and dispositive power with respect to 2,297,995 shares of Common Stock, representing approximately 5.9% beneficial ownership of the Common Stock outstanding.
By virtue of its status as general partner of IVIV Jersey and IVPEF IV and its affiliation with Yucca, Index Venture IV may be deemed to share voting and
dispositive power with respect to 1,131,258 shares of Common Stock, representing approximately 2.9% beneficial ownership of the Common Stock outstanding.
By virtue of its status as general partner of IVV Jersey and IVPEF V and its affiliation with Yucca, Index Venture V may be deemed to share voting and
dispositive power with respect to 827,429 shares of Common Stock, representing approximately 2.1% beneficial ownership of the Common Stock outstanding.
All percentage calculations in this Item 5 are based upon 39,025,471 shares of Common Stock outstanding as of May 1, 2019 as reported by the Issuer in
its Quarterly Report on Form
10-Q
for the period ended March 31, 2019, as filed with the Securities and Exchange Commission on May 6, 2019. Each of the Reporting Persons expressly disclaims
beneficial ownership of the shares of capital stock of the Issuer owned by all other Reporting Persons, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of any other Reporting Persons
securities for purposes of Section 16 or for any other purpose, except to the extent of its respective pecuniary interest therein.
(c) Other than
the transactions described in the attached
Annex I
, no Reporting Person has effected any transactions in shares of Common Stock in the last 60 days.
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
16
of 17
|
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: June 18, 2019
|
|
|
INDEX VENTURE ASSOCIATES III LIMITED
|
|
|
By:
|
|
/s/ Nigel Greenwood
|
|
|
Name: Nigel Greenwood
|
|
|
Title: Director
|
|
INDEX VENTURES III (JERSEY) L.P.
|
|
|
By:
|
|
Index Venture Associates III Limited, its General Partner
|
|
|
By:
|
|
/s/ Nigel Greenwood
|
|
|
Name: Nigel Greenwood
|
|
|
Title: Director
|
|
INDEX VENTURES III (DELAWARE) L.P.
|
|
|
By:
|
|
Index Venture Associates III Limited, its General Partner
|
|
|
By:
|
|
/s/ Nigel Greenwood
|
|
|
Name: Nigel Greenwood
|
|
|
Title: Director
|
|
INDEX VENTURES III PARALLEL
ENTREPRENEUR FUND (JERSEY) L.P.
|
|
|
By:
|
|
Index Venture Associates III Limited, its General Partner
|
|
|
By:
|
|
/s/ Nigel Greenwood
|
|
|
Name: Nigel Greenwood
|
|
|
Title: Director
|
|
INDEX VENTURE ASSOCIATES IV LIMITED
|
|
|
By:
|
|
/s/ Michael Johnson
|
|
|
Name: Michael Johnson
|
|
|
Title: Director
|
|
INDEX VENTURES IV (JERSEY) L.P.
|
|
|
By:
|
|
Index Venture Associates IV Limited, its General Partner
|
|
|
By:
|
|
/s/ Michael Johnson
|
|
|
Name: Michael Johnson
|
|
|
Title: Director
|
|
|
|
|
|
CUSIP No. 603380106
|
|
SC 13D/A
|
|
Page
17
of 17
|
|
|
|
INDEX VENTURES IV PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
|
|
By:
|
|
Index Venture Associates IV Limited, its General Partner
|
|
|
By:
|
|
/s/ Michael Johnson
|
|
|
Name: Michael Johnson
|
|
|
Title: Director
|
|
INDEX VENTURE ASSOCIATES V LIMITED
|
|
|
By:
|
|
/s/ Michael Johnson
|
|
|
Name: Michael Johnson
|
|
|
Title: Director
|
|
INDEX VENTURES V (JERSEY) L.P.
|
|
|
By:
|
|
Index Venture Associates V Limited, its General Partner
|
|
|
By:
|
|
/s/ Michael Johnson
|
|
|
Name: Michael Johnson
|
|
|
Title: Director
|
|
INDEX VENTURES V PARALLEL ENTREPRENEUR FUND (JERSEY) L.P.
|
|
|
By:
|
|
Index Venture Associates V Limited, its General Partner
|
|
|
By:
|
|
/s/ Michael Johnson
|
|
|
Name: Michael Johnson
|
|
|
Title: Director
|
|
YUCCA (JERSEY) SLP
|
|
|
By:
|
|
Intertrust Employee Benefit Services Limited as authorized signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index
Co-Investment
Scheme
|
|
|
By:
|
|
/s/ Sarah Earles and Michael Johnson
|
|
|
Name: Sarah Earles and Michael Johnson
|
|
|
Title: Authorized Signatories
|
Schedule A
The name and present principal occupation of each director of Index Venture Associates III Limited is set forth below. The business address of
each director of Index Venture is c/o Index Venture Associates III Limited, 44 Esplanade, 5
th
Floor, St. Helier, Jersey, JE1 3FG, Channel Islands. All the persons listed below are citizens of
Jersey (Channel Islands).
|
|
|
|
|
Name
|
|
Position with Index Venture
|
|
Principal Occupation (if different)
|
David Hall
|
|
Director
|
|
Non-executive
director for various private equity structures
|
|
|
|
Ian Henderson
|
|
Director
|
|
Director of EFG Wealth Solutions (Jersey) Limited
|
|
|
|
Nigel Greenwood
|
|
Director
|
|
Director of EFG Wealth Solutions (Jersey) Limited
|
|
|
|
Sinéad Meehan
|
|
Director
|
|
Internal Legal Counsel Index Ventures group
|
The name and present principal occupation of each director of Index Venture Associates IV Limited is set forth
below. The business address of each director is c/o Index Venture Associates IV Limited, 44 Esplanade, St Helier, Jersey, JE4 9WG, Channel Islands. All the persons listed below are citizens of Jersey (Channel Islands).
|
|
|
|
|
Name
|
|
Position with Index Venture
|
|
Principal Occupation (if different)
|
David Hall
|
|
Director
|
|
Non-executive
director for various private equity structures
|
|
|
|
Phil Balderson
|
|
Director
|
|
Non-executive
director for various private equity structures
|
|
|
|
Michael Johnson
|
|
Director
|
|
Director of Intertrust Fund Services (Jersey) Limited
|
|
|
|
Sinéad Meehan
|
|
Director
|
|
Internal Legal Counsel Index Ventures group
|
The name and present principal occupation of each director of Index Venture Associates V Limited is set forth
below. The business address of each director is c/o Index Venture Associates V Limited, 44 Esplanade, St Helier, Jersey, JE4 9WG, Channel Islands. All the persons listed below are citizens of Jersey (Channel Islands).
|
|
|
|
|
Name
|
|
Position with Index Venture
|
|
Principal Occupation (if different)
|
David Hall
|
|
Director
|
|
Non-executive
director for various private equity structures
|
|
|
|
Phil Balderson
|
|
Director
|
|
Non-executive
director for various private equity structures
|
|
|
|
Michael Johnson
|
|
Director
|
|
Director of Intertrust Fund Services (Jersey) Limited
|
|
|
|
Sinéad Meehan
|
|
Director
|
|
Internal Legal Counsel Index Ventures group
|
Annex I
Information With Respect to Transactions of Shares during the Past 60 Days
Index III Jersey
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
6,340
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
9,259
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
7,772
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
3,938
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
35
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
5,746
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
4,663
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
9,238
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
4,363
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
9,749
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Index III Delaware
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
12,878
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
18,809
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
15,787
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
7,999
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
70
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
11,672
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
9,472
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
18,767
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
8,862
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
19,804
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Index III Parallel
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
229
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
335
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
281
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
143
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
1
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
208
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
169
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
334
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
158
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
353
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Index IV Jersey
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
8,806
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
12,862
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
10,796
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
5,470
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
48
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
7,982
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
6,477
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
12,833
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
6,060
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
13,542
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Index IV Parallel
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
836
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
1,221
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
1,025
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
519
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
5
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
758
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
615
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
1,218
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
575
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
1,285
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Index V Jersey
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
6,964
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
10,171
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
8,537
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
4,326
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
38
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
6,312
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
5,122
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
10,148
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
4,792
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
10,709
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Index V Parallel
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
57
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
83
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
69
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
35
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
0
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
51
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
41
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
83
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
39
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
87
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|
Yucca Jersey
|
|
|
|
|
|
|
|
|
|
|
Date
|
|
Transaction
|
|
Shares
|
|
|
Price/Share ($)
(1)
|
|
05/14/2019
|
|
Sale
|
|
|
464
|
|
|
$
|
7.0548
|
|
05/15/2019
|
|
Sale
|
|
|
678
|
|
|
$
|
6.6357
|
|
05/16/2019
|
|
Sale
|
|
|
569
|
|
|
$
|
6.3715
|
|
05/17/2019
|
|
Sale
|
|
|
288
|
|
|
$
|
6.0164
|
|
05/20/2019
|
|
Sale
|
|
|
3
|
|
|
$
|
6.075
|
|
06/11/2019
|
|
Sale
|
|
|
421
|
|
|
$
|
4.7769
|
|
06/12/2019
|
|
Sale
|
|
|
342
|
|
|
$
|
4.5719
|
|
06/13/2019
|
|
Sale
|
|
|
677
|
|
|
$
|
4.5133
|
|
06/14/2019
|
|
Sale
|
|
|
320
|
|
|
$
|
4.4971
|
|
06/17/2019
|
|
Sale
|
|
|
714
|
|
|
$
|
4.4487
|
|
(1)
|
Weighted average price per share, other than the May 20 sale which was a block trade.
|